CLIENT STATEMENT I For the Period March 1-31, 2014
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STATEMENT FOR:
R0SEM0NT SENECA BOHAI, LLC
C/0 DEVON ARCHER
Morgan Stanley Private Wealth Management, a division of Morgan Stanley Smith Barney LLC.
Member SI PC.
#BWNJGWM
ROSEMONT SENECA BOHAI, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 3/31/14)
Includes Accrued Interest
$2,436,115.00
Your Private Wealth Advisor Team
SCHATZ/MOYE/MARKEY/FIN N EG
212-296-6000
Your Branch
522 FIFTH AVENUE
NEW YORK, NY 10036
Telephone: 212-296-6000; Alt. Phone: 800-419-2861 ; Fax: 212-296-6320
GOVERNMENT
EXHIBIT
301
16 0.371 (FLA)
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 201-830-4796 (Inti Collect)
Access Your Account Online: www.morganstanley.com/PWM
876-018483-380-1 -0
MS-USAO-O017705
CLIENT STATEMENT I For the Period March 1-31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 2 of 8
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(3/1 /14-3/31/14) (1 /I /14-3/31 /14)
TOTAL BEGINNING VALUE
—
—
Credits
Debits
Security Transfers
2,446,561.00
(10,450.00)
2,446,561.00
(10,450.00)
Net Credits/Debits/Transfers
$2,436,111.00
$2,436,111.00
Change in Value
4.00
4.00
TOTAL ENDING VALUE
$2,436,115.00
$2,436,115.00
ALLOCATION OF HOLDINGS
Cash, BDP, MMFs
TOTAL VALUE
Market Value Percentage %
$2,436,115.00 _ 100.0
$2,436,115.00 100.0%
This allocation represents holdings on a trade date basis , and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis.
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
FDIC rules apply and Bank
FOIA Confidential Treatment Requested
MS-USAO-0017706
CLIENT STATEMENT I For the Period March 1-31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 3 0 f g
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 2/28/14)
This Period
(as of 3/31/14)
CASH FLOW
This Period
(3/1/14-3/31/14)
This Year
(1/1/14-3/31/14)
Cash, BDP, MMFs
—
$2,436,115.00
OPENING CASH, BDP, MMFs
--
- -
Total Assets
—-
$2,436,115.00
Income
4.00
4.00
Total Liabilities (outstanding balance)
—
—
Total Investment Related Activity
$4.00
$4.00
TOTAL VALUE
$2,436,115.00
Electronic Transfers-Credits
2,446,561.00
2,446,561.00
Total Cash Related Activity
$2,446,561.00
$2,446,561.00
Debit Card
ATM/Cash Advances
Checks Written
Automated Payments
(10,000.00)
(450.00)
(10,000.00)
(450.00)
Total Card/Check Activity
$(10,450.00)
$(10,450.00)
CLOSING CASH, BDP, MMFs
$2,436,115.00
$2,436,115.00
INCOME SUMMARY
This Period
(3/1/14-3/31/14)
This Year
(1/1/14-3/31/14)
GAIN/(LOSS) SUMMARY
Realized This Period
Realized This Year
Unrealized
Inception to Date
(as of 3/31/14)
Qualified Dividends
—
(3/1/14-3/31/14)
(1/1/14-3/31/14)
Other Dividends
Long Term Capital Gains Distributions
Interest
Other Income
4.00
4.00
TOTAL GAINZ(LOSS) — — —
Gain/(Loss) Summary information is provided for informational purposes only and should not be used for
tax preparation. This information may change due to basis adjustments.
Refer to the Gain/(Loss) Information in the Expanded Disclosures for additional information.
Total Taxable Income
Dividends
Interest
$4.00
$4.00
Other Income
■
—
Total Tax-Exempt Income
—
—
TOTAL INCOME
$4.00
$4.00
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
FOIA Confidential Treatment Requested
MS-USAO-0017707
Morgan Stanley
CLIENT STATEMENT I For the Period March 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 4 of 8
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9900090009900990090009000900099009900990099009900990090009000900099099909990990099900900090009000900099009000000090009000
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9990009000900000000000000000000000000090009000900090000099000900090009000900000000900000009000000000000000000000000000900
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0 0 0 0
0 0 9 9 0
0 0 0 0 0
0 9 9 0 0
Investment Objectives?: Capital Appreciation, Aggressive income Brokerage Account
t See the Expanded Disclosures for more information about investment objectives. Please review for accuracy and inform us if your investment objectives change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value" and "Unrealized GainZ(Loss )" are
representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market Fixed Income securities are sorted by maturity or pre-refunding date,
and alphabetically within date. Estimated Annual Income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxe$ r if any. EAI for certain securities may
include return of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, EAI is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. Accrued interest, annual income and yield for structured products with a contingent income feature (such as Range Accrual Notes or
Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the accrued interest,
annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. New Treasury regulations require that we report on Form 1099-B , after
the close of the tax year, your adjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These regulations also require
that we make basis adjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost basis is reflected on
statements for informational purposes and should not be used in the preparation of your income tax returns. Refer to the Expanded Disclosures for additional information.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Value
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
$2,191,115.00
245,000.00
$438.00
49.00
0.020
0.020
.••••• •••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••, •. . \ v/ f * V* tt V* . v. • # V. V« V.% V* V, Vt V* V* Vt Vi% V* V* Vi V* Vi Vt Vt Vi ViVt ViVt Vt V* Vt VtViVt Vt Vt V«VtVt V« Vt V« Vt V« V« V* V* Vi Vi
Estimated
Percentaae Annual Income
Accruedjnterest
$487^00
$ 0.00
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
CASH, BDP, AND MMFs
itage
of Assets %
Toaoi
MsMMm
$2,436,115.00
Percentaae
of Assets
TOTAL MARKET VALUE
100 . 0 %
Tota^ost
$ 0.00
MarkeH^lue
$2,436,115.00
Unrealized
Gain/i
Estimated
Annual Income
Accrued interest
$487.00
$0.00
Yteld%
0 . 02 %
TOTAL VALUE (includes accrued interest) $2,436,115.00
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included.
FOIA Confidential Treatment Requested
MS-USAO-0017708
CLIENT STATEMENT I For the Period March 1-31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 5 0 f g
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credit$/(Dehits)
3/14
3/14
Account Charqe
AAA ANNUAL SERVICE FEE
$(150.00)
3/14
3/25
Check
SEBASTIAN MONTAZI
Check# 1001
(10,000.00)
3/20
3/20
Account Charqe-Adj
AAA FEE REVERSAL
150.00
3/20
3/20
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 18025922
450.00
FROM 876-018484
3/20
3/20
Automated Payment
AMEX EPayment
AUTOMATIC BILL PAYMENT
(450.00)
3/20
3/20
Service Fee
ACH 000000 OVERLMT FEE
(25.00)
3/25
3/25
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION# 18120704
2,246,111.00
FROM 876-018484
3/25
3/25
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 18112092
FROM 876-018484
200 ,000.00
3/25
3/25
Service Fee Reversal
REV OVERLMT ACH FEE
25.00
3/28
3/28
Interest Income
MORGAN STANLEY BANK N.A.
3.60
(Period 03/26-03/28)
3/28
3/2
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 03/26 : p3/28)
NET CREDITS/(DEBITS)
0,40
$ 2 , 436 , 115.00
DEBIT CARD & CHECKING ACTIVITY
CHECKS WRITTEN
Date
Written
Date
Paid
Check Number
Activity Type
Payee
Expense Category
Credits/(Debits)
3/14
3/25
1001
Check
SEBASTIAN MONTAZI
$( 10 , 000 . 00 )
TOTAL CHECKS WRITTEN
$( 10 , 000 . 00 )
AUTOMATED PAYMENTS
Bill pay and other electronic activity , which may include checks you wrote that were processed by Automated Clearing House processing.
Date of Date
Payment Paid
Activity Type
Payee
Credits/(Debits)
3/20
3/20
Automated Payment
AMEX EPayment
$( 450 . 00 )
TOTAL AUTOMATED PAYMENTS
$(450.00)
FOIA Confidential Treatment Requested
MS-USAO-0017709
CLIENT STATEMENT I For the Period March 1-31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age $ of 8
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date Activity Type
Description
Credits/(Debits)
3/26 Automatic investment
;ANK DEPOSIT PROGRAM
$2,436,111.00
3/28 Automatic Investment
SANK DEPOSIT PROGRAM
3 60
3/28 Automatic Investment
;ANK DEPOSIT PROGRAM
0.40
NET ACTIVITY FOR PERIOD
$ 2 , 436 , 115.00
MESSAGES
Consolidated Statement of Financial Condition (in Millions of Dollars)
At December 31, 2013 Morgan Stanley Smith Barney LLC had net capital of $3,483 which exceeded the Securities and Exchange Commission's minimum requirement by $3,302. A copy of the Morgan Stanley Smith
Barney LLC Consolidated Statement of Financial Condition at December 31, 2013 can be viewed online at:
http://www.morganstanley.com/about/ir/shareholder/morganstanley_smithbarney_llc.pdfor may be mailed to you at no cost by calling 1 (866) 825-1675, after March 15, 2014.
Make Your Annual IRA Contribution
The deadline to make your 2013 IRA contribution is April 15, 2014, so there is still time to contribute to a Traditional or Roth IRA, if eligible. The maximum contribution is $5,500 for 2013, or $6,500 if you are age
50 or older. Your Financial Advisor can help you open a new IRA or fund an existing one. You can even move funds from an existing Morgan Stanley non-retirement account if you have one. Speak with your Financial
Advisor or Private Wealth Advisor about making an IRA contribution for 2014 at the same time and take advantage of a year of additional potential growth.
FOIA Confidential Treatment Requested
MS-USAO-OOl 7710
Morgan Stanley
CLIENT STATEMENT I For the Period March 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 7 of 8
Expanded Disclosures, which apply to all statements Morgan Stanley
Smith Barney LLC (we/us) sends to you, are provided with your first
statement and thereafter twice a year.
Questions?
Questions regarding your account may be directed to either your
Financial Advisor or the Branch Manager for the branch office where
you maintain your account, If you require further assistance, call the
Client Service Center at (800) 869-3326 or for account-related
concerns contact our Client Advocate at (866) 227-2256 or via U.S.
mail at P.0 Box 95002, South Jordan, Utah 84095,
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re-confirmed in writing to further protect your rights, including rights
under the Securities investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered,
Account Valuation
Account values are computed by adding (1) the market value of all
priced positions and (2) market values provided by pricing services
and/or outside custodians, as applicable for other positions, and by
adding any credit or subtracting any debit to your closing Cash, Money
Market Funds and/or Deposit balance. Cash, Deposits and Money
Market Funds are displayed on a settlement date basis, and other
positions are displayed in your account on a trade date basis. The
values of fixed income positions in summary displays include accrued
interest in the totals. In the "Holdings" section, fixed income market
value and accrued interest are also displayed in separate columns.
Accrued interest is the interest earned but not yet paid on the bond
since its last interest payment. In most cases, it is calculated from the
date of the last coupon payment (or "dated date") through the
closing date of the statement. Global Currency Deposits are reflected in
U.S. dollars as of the statement end date. The Annual Percentage Yield
(APY) for deposits represents the applicable rate in effect for your
deposits at the statement ending date. This APY may be different than
the APY that was in effect during the statement period. For current
Bank Deposit or Money Market Fund yields, go to
www, morga nsta n I ey individual. com/Accou ntO ptions/Active Assets/1 n vest
mentFeatures
Additional BRA information
IRA contributions are subject to IRS eligibility rules and regulations.
The "Max. Individual Contributions Allowed (by SSN)" reflects the
annual limit on contributions that you can make to IRAs (Traditional,
Roth, SEP, and SARSEP). The limit applies on a per person basis, not
per account. The Contributions information included in this statement
pertains to a particular account, without reference to any other IRA.
You cannot make an individual contribution to a Traditional IRA for the
year in which you reach age 70 1/2 or later. Other special rules may
apply; e g., in conversions or recharacterizations of Traditional to Roth,
Roth to Traditional IRAs. Check with your tax advisor to verify how
much you can contribute, whether or not the contribution will be tax
deductible, and whether other special rules may apply. The
categorization of any deductibility is based upon information provided
by you and is included for your convenience. Contact your Financial
Advisor if this information is incorrect. The account value used for your
Required Minimum Distribution calculation is based on your account's
prior December 31st Account Value, including accrued interest. This
information is not intended to constitute tax, legal or accounting advice.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR §240.15c3-2
& -3], we may use funds comprising free credit balances carried for
customer accounts here, provided that these funds are payable to
customers on demand (i e., are free of a lien or right of set-off in our
favor or on behalf of some third party to whom you have given control).
A financial statement of this organization is available for your personal
inspection at its offices, or a copy will be mailed to you upon your
written request.
Gain/(Loss) Information
Gain/(Loss) is provided for informational purposes . It is not a substitute
for Internal Revenue Service (IRS) Form 1099 (on which we report cost
basis for covered securities) or any other IRS tax form. It is not
intended to be, nor should be used for tax preparation, Unrealized
Gain/(Loss) provided on this statement are estimates. Contact your own
independent legal or tax advisor to determine the appropriate use of the
Gain/(Loss) information on this statement. For more information, go to
www.morganstanley.com/wealth/disclosures/disclosures.asp ,or call
Client Service Center
Tax Reporting
Under Federal Income Tax law, we are required to report the gross
proceeds of sales transactions (including entering into short sales) to
you on Form 1099-B by February 15 of the year following the calendar
year of the transaction for reportable (i.e. non-retirement) accounts. For
the sale of certain securities acquired on or after January 1 2011, we
are required to report additional transaction information on Form
1099-B. The information reported on your Form 1099-B for the
calendar year should be exclusively relied upon for the purpose of filing
your tax return for the year. Under U.S. Internal Revenue Service
regulations, if you have not provided us with a certification of either
U.S. or foreign status on an appropriate Form W-9 or W-8, your
accounts may be subject to either 28% back-up withholding or 30%
nonresident alien withholding, as applicable, on payments made to
your accounts.
Investment Objectives
The following is an explanation of the investment objective alternatives
applicable to your account(s): Income - for investors seeking regular
income with low to moderate risk to principal; Capital Appreciation - for
investors seeking capital appreciation with moderate to high risk to
principal; Aggressive Income - for investors seeking higher returns either
as growth or as income with greater risk to principal; Speculation - for
investors seeking high profits or quick returns with considerable
possibility of losing most or all of their investment.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Customer(not available for
certain accounts such as IRAs or retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral. The amount
you may borrow is based on the value of eligible securities in your
margin accounts. If a security has eligible shares the number of shares
pledged as collateral is indicated below the position. If you have a
margin account, as permitted by law, we may use certain securities in
your account for, among other things, settling short sales or lending the
securities for short sales, for which we may receive compensation.
Margin Interest Charges
We calculate interest charges on margin loans as follows:(1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www.morganstanley.com/online/MIRates
information regarding Special Memorandum Account
CONTINUED
FOIA Confidential Treatment Requested
MS-USAO-0017711
CLIENT STATEMENT I For the Period March 1-31, 2014
Morgan Stanley
PRIVATE WEALTH MAN AGE IV! ENT p age g 0 f g
If you have a margin account, this is a combined statement of your
margin account and special memorandum account maintained for you
under Section 220,6 of Regulation T issued by the Federal Reserve
Board. The permanent record of the special memorandum account as
required by Reg T is available for your inspection at your request.
Money Market Pricing
An investment in a MMF is neither insured nor guaranteed by the
Federal Deposit Insurance Corporation (FDIC) or any other government
agency. Although MMFs seek to preserve the value of your investment
at $1.00 per share, there can be no assurance that will occur and it is
possible to lose money should the fund value per share fall. In some
circumstances MMFs may cease operations when the value of a fund
drops below $1.00 per share. In that event, the fund's holdings would
be liquidated and distributed to the fund's shareholders. This process
could take up to one month or more. During that time, these funds
would not be available to you to support purchases, withdrawals, and if
applicable, check writing or ATM debits from your account.
Notice Regarding Investment Advisor Research
Morgan Stanley's Consulting Group Investment Advisor Research
conducts research on various mutual funds and exchange-traded funds
for clients holding those funds in certain investment advisory programs.
If you have invested in any of these funds in another type of account,
such as a brokerage account, you will not receive the same research
materials and status updates on the funds as we provide to investment
advisory clients (including instructions on selling fund shares).
Pricing of Securities
The prices of securities are derived from various sources, and do not
necessarily represent the prices at which those securities could have
been bought or sold. Although we attempt to use reliable sources of
information, we can offer no assurance as to their accuracy. Prices of
securities not actively traded may not be available, and are indicated
by N/A (not available). For additional information on how we price
securities, go to
www.morganstanley.com/wealth/disclosures/disclosures.asp
Important Information About Auction Rate Securities
For certain Auction Rate Securities there is no or limited liquidity.
Therefore, the price(s) for any Auction Rate Securities shown may not
reflect the price(s) you would receive upon a sale at auction or in a
secondary market transaction, and is not an indication of any offer to
purchase at such price. There can be no assurance that a successful
auction will occur or that a secondary market exists or will develop for
a particular security. The prices of any Auction Rate Securities in most
cases reflect par value, but may be derived from various sources. These
prices may differ from: prices provided to us or our affiliates by outside
pricing services; our affiliates' own internal bookkeeping valuations;
prices of transactions executed in any secondary market that exists or
may develop; and/or the prices at which issuer repurchases or
redemptions may occur.
Special Considerations Regarding Structured Investments
Structured Investments are complex products and may be subject to
special risks, which may include, but are not limited to: loss of initial
investment; issuer credit risk and price volatility resulting from any
actual or anticipated changes to issuer's and/or guarantor's credit
ratings or credit spreads; limited or no appreciation and limits on
participation in any appreciation of underlying asset(s); risks associated
with the underlying reference asset(s); no periodic payments; calf prior
to maturity; early redemption fees for market linked deposits; lower
interest rates and/or yield compared to conventional debt with
comparable maturity; unique tax implications; limited or no secondary
market; and conflicts of interest due to affiliation, compensation or
other factors which could adversely affect market value or payout to
investors. Investors also should consider the concentration risk of
owning the related security and their total exposure to any underlying
asset. Structured Investments may not perform in a manner consistent
with the statement product category where they appear and therefore
may not satisfy portfolio asset allocation needs for that category.
Accrued interest, estimated annual income and estimated yield for
Structured Investments with a contingent income feature, including
Range Accrual Notes and Contingent Income Notes, assume optimal
performance of the underlying asset(s) and payment in full of all
contingent interest. However, contingent interest is only paid if the
specified accrual conditions are met during the relevant observation
period Actual accrued interest, annual income and yield will be
dependent upon the performance of the underlying asset(s) and may be
significantly lower than the estimates shown For more information
about the risks specific to your Structured Investments, you should
contact your Financial Advisor,
Security Measures
This statement features several embedded security elements to
safeguard its authenticity One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back side of every page.
When exposed to warmth, the blue rectangle will disappear, and then
reappear.
Si PC Protection
We are a member of Securities Investor Protection Corporation (SiPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by Si PC and assets not held with us may not be covered
by S!PC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Certain Assets Not Held At Morgan Stanley Smith Barney LLC
You may purchase certain assets through us that may be held at
another financial institution. Assets not held with us may not be
covered by SIPC protection. We may include information about certain
of these assets on this statement solely as a service to you and are not
responsible for any information provided by external sources. Generally,
any financial institution that holds securities is responsible for year-end
reporting (1099s) and separate periodic statements, which may vary
from our information due to different tax reporting periods. In the case
of networked mutual funds, we perform ail year-end tax reporting .
Under certain circumstances, such as IRA accounts, we perform all tax
reporting.
Total Income
Total income, as used in the income summaries, represents dividends
and/or interest on securities we receive on your behalf and credit to
your account(s) during the calendar year. We report dividend
distributions and taxable bond interest credited to your account to the
Internal Revenue Service. The totals we report may differ from those
indicated as "This Year" figures on the last statement for the calendar
year. In the case of Real Estate Investment Trusts (REITs), Master
Limited Partnerships, Regulated Investment Companies and Unit
Investment Trusts, some sponsors may reclassify the distribution to a
different tax type for year-end reporting.
Transaction Dates and Transaction Conditions
Transactions display trade date and settlement date. Transactions are
included on this statement on trade date basis (excluding BDP and
MMFs). Trades that have not settled as of statement month end will
also be displayed in the "Unsettled Purchase/Saies Activity" section.
Upon written request, we will give you the date and time of a
transaction and the name of the other party to a transaction. We and/or
our affiliates may accept benefits that constitute payment for order
flow. Details regarding these benefits and the source and amount of
any other remuneration received or to be received by us in connection
with any transaction will be furnished upon written request.
U.S. Treasury Circular 230 Disclosure
We do not render advice on tax and tax accounting matters to clients.
The information provided herein was not intended or written to be
used, and it cannot be used, by any taxpayer, for the purpose of
avoiding penalties that may be imposed on the taxpayer under US
federal tax laws.
Revised 12/2013
FOIA Confidential Treatment Requested
MS-USAO-O017712
Morgan Stanley
CLIENT STATEMENT I For the Period April 1-30, 2014 PRIVATE WEALTH MANAGEMENT
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STATEMENT FOR: TOTAL VALUE OF YOUR ACCOUNT (as of 4/30/14) $1,151,171.14
R0SEM0NT SENECA BOHAI, LLC Includes Accrued Interest
CIO DEVON ARCHER
Morgan Stanley Private Wealth Management, a division of Morgan Stanley Smith Barney LLC.
Member SIPC.
Your Private Wealth Advisor Team
SC HATZ/MOY E/M ARKE Y/FIN N EG
212-296-6000
Your Branch
522 FIFTH AVENUE
NEW YORK, NY 10036
Telephone: 212-296-6000; Alt. Phone: 800-419-2861 ; Fax: 212-296-6320
#BWNJGWM
R0SEM0NT SENECA B0HA I, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Inti Collect)
Access Your Account Online: www.morganstanley.com/PWM
76 - 018483 - 380 1 - 0
FOIA Confidential Treatment Requested
MS-USAO-0017713
CLIENT STATEMENT I For the Period April 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 2 of 8
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(4/1 / 1 4-4/30/14) (1 /I /14-4/30/14)
TOTAL BEGINNING VALUE
$2,436,115.00
—
Credits
255,058.15
2,701,619.15
Debits
(1,540,031.09)
(1,550,481.09)
Security Transfers
' ■
——
Net Credits/Debits/Transfers
$(1,284,972.94)
$1,151,138.06
Change in Value
29.08
33.08
TOTAL ENDING VALUE
$1,151,171.14
$1,151,171.14
CHANGE IN VALUE OVER TIME
The display of market value (total account value) and net invested capital (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net Invested Capital or Market Value made subsequent to the
dates depicted. It may also exclude transactions in Annuities or where we are not the custodian, which
could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Cash, BDP, MMFs
TOTAL VALUE
Market Value Percentage %
$1,151,171.14 _ 100.0
$1,151,171.14 100.0%
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-OO17714
CLIENT STATEMENT I For the Period April 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH MANAGEMENT Paoe 3 of 8
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 3/31/14)
This Period
(as of 4/30/14)
CASH FLOW
This Period
(4/1/14-4/30/14)
This Year
(1/1/14-4/30/14)
Cash, BDP, MMFs
$2,436,115.00
$1,151,171.14
OPENING CASH, BDP, MMFs
$2,436,115.00
--
Total Assets
$2,436,115.00
$1,151,171.14
Income
29.08
33.08
Total Liabilities (outstanding balance)
—
■
Total Investment Related Activity
$29.08
$33.08
TOTAL VALUE
$2,436,115.00
$1,151,171.14
Electronic Transfers-Credits
Electronic Transfers-Deb its
255,058.15
(1,492,300.00)
2,701,619.15
(1,492,300.00)
Total Cash Related Activity
$(1,237,241.85)
$1,209,319.15
Debit Card
ATM/Cash Advances
Checks Written
(30,000.00)
(40,000.00)
Automated Payments
(17,731.09)
(18,181.09)
Total Card/Check Activity
$(47,731.09)
$(58,181.09)
CLOSING CASH, BDP, MMFs
$1,151,171.14
$1,151,171.14
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
FOIA Confidential Treatment Requested
MS-USAO-OOI7715
CLIENT STATEMENT I For the Period April 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 4 0 f g
INCOME SUMMARY
This Period
This Year
(4/1/14-4/30/14)
(1/1/14-4/30/14)
Qualified Dividends
Other Dividends
Long Term Capita! Gains Distributions
—
—
Interest
29.08
33.08
Other Income
Total Taxable Income
$29.08
$33.08
Dividends
—
—
Interest
—
—
Other Income
—
—
Total Tax-Exempt Income — —
TOTAL INCOME $29.08 $33.08
GA!N/(LOSS) SUMMARY
Unrealized
Realized This Period Realized This Year Inception to Date
_ (4/1/14-4/30/14) _ (1/1/14-4/30/14) _ (as of 4/30/14)
TOTAL GAIN/(L0SS) — — —
Gain/(Loss) Summary information is provided for informational purposes only and should not be used for
tax preparation. This information may change due to basis adjustments.
Refer to the Gain/(Loss) Information in the Expanded Disclosures for additional information.
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
FOIA Confidential Treatment Requested
MS-USAO-OOI7716
CLIENT STATEMENT 1 For the Period April 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 5 0 f g
Investment Objectives?: Capital Appreciation, Aggressive income Brokerage Account
t See the Expanded Disclosures for more information about investment objectives. Please review for accuracy and inform us if your investment objectives change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value" and "Unrealized GainZ(Loss )" are
representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market Fixed Income securities are sorted by maturity or pre-refunding date,
and alphabetically within date. Estimated Annual Income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxe$ r if any. EAI for certain securities may
include return of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, EAI is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. Accrued interest, annual income and yield for structured products with a contingent income feature (such as Range Accrual Notes or
Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the accrued interest,
annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. New Treasury regulations require that we report on Form 1099-B , after
the close of the tax year, your adjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These regulations also require
that we make basis adjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost basis is reflected on
statements for informational purposes and should not be used in the preparation of your income tax returns. Refer to the Expanded Disclosures for additional information.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Value
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
$906,171.14
245,000.00
$181.00
49.00
0.020
0.020
CASH, BDP, AND MMFs
ige
of Assets %
Toao%
Estimated
Percentaae Annual Income
Accruedjnterest
$230*00
$ 0.00
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
$1,151,171.14
Percentaae
of Assets
TOTAL MARKET VALUE
100.0%
Tota^ost
$ 0.00
MarkejVaUie
$1,151,171.14
Unrealized
Gain/i
Estimated
Annual Income
Accrued Interest
$230.00
$0.00
Yteld%
0 . 02 %
TOTAL VALUE (includes accrued interest) $1,151,171.14
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included.
FOIA Confidential Treatment Requested
MS-USAO-OOI7717
CLIENT STATEMENT 1 For the Period April 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age $ of 8
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity Price CreditsZ(Debits)
4/9
4/9
Funds Transferred
WIRED FUNDS SENT
BENE: BEVERLY HILLS ESCROW TRU
ACCT: XXXX3627
$( 1 , 200 , 000 . 00 )
4/14
4/14
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 18689065
TO 876-018475
(150,000.00)
4/15
4/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
4/15
4/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
29,424.82
4/19
4/22
Check
HAMPTON WATERCRAFT & MARINE
Check# 1026
(30,000.00)
4/22
4/22
Funds Received
WIRED FUNDS RECEIVED
ABLV BANK AS RIGA LATVIA
NOVATUS HOLDING PTE. LTD.
142,300.00
4/23
4/23
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(17,731.09)
4/23
4/23
Funds Transferred
WIRED FUNDS SENT
BENE: SCHNEIDER NELSON MOTOR C
ACCT: XXXXXXXX6760
(142,300.00)
4/29
4/29
Interest Income
MORGAN STANLEY BANK N.A.
(Period 03/29-04/29)
24.78
4/29
4/29
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 03/29-04/29)
4,30
NET CREDITSZ(DEBITS)
$(1,284,943.86)
DEBIT CARD & CHECKING ACTIVITY
CHECKS WRITTEN
Date
Written
Date
Paid
Check Number
Activity Type Payee
Expense Category
CreditsZ(Debits)
4/19
4/22
1026
Check HAMPTON WATERCRAFT & MARINE
$(30,000.00)
TOTAL CHECKS WRITTEN $(30,000.00)
FOIA Confidential Treatment Requested
MS-USAO-OOI7718
CLIENT STATEMENT I For the Period April 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH MANAGEMENT Paoe 7 of 8
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
J
ill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of Date
Payment Paid _ Activity Type _ Payee _
4/23 4/23 Automated Payment AMEX EPayment ACH PMT
TOTAL AUTOMATED PAYMENTS
Credits/(Debits)
$(17,731.09)
$(17,731.09)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date
Activity Type
Description
Credits/(Debits)
4/10
Automatic Redemption
BANK DEPOSIT PROGRAM
$( 1 , 200 , 000 . 00 )
4/15
Automatic Redemption
BANK DEPOSIT PROGRAM
(150,000.00)
4/16
Automatic Investment
BANK DEPOSIT PROGRAM
112,758.15
4/22
Automatic Redemption
BANK DEPOSIT PROGRAM
(30,000.00)
4/23
Automatic Investment
BANK DEPOSIT PROGRAM
124,568.91
4/24
Automatic Redemption
BANK DEPOSIT PROGRAM
(142,300.00)
4/29
Automatic Investment
BANK DEPOSIT PROGRAM
24.78
4/29
Automatic Investment
BANK DEPOSIT PROGRAM
4.30
NET ACTIVITY FOR PERIOD $(1,284,943.86)
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
FOIA Confidential Treatment Requested
MS-USAO-OOI7719
Morgan Stanley
CLIENT STATEMENT I For the Period April 1-30, 2014 PRIVATE WEALTH MANAGEMENT Page 8 of 8
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service at (800) 869-3326 or for account-related concerns call our
Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Except as provided
in your account documentation, your statement will be deemed correct
unless we receive your written inquiry of a suspected error within 10
calendar days from the day you received your statement. See your
account documentation for special rules regarding your rights and
responsibilities with respect to erroneous electronic fund transfers,
including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR §240.15c3-2
& -3], we may use funds comprising free credit balances carried for
customer accounts here, provided that these funds are payable to
customers on demand (i.e, are free of a lien or right of set-off in our
favor or on behalf of some third party to whom you have given control).
A financial statement of this organization is available for your personal
inspection at its offices, or a copy will be mailed to you upon your
written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Margin Privileges (not available for certain accounts such as IRAs or
retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) Multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) Divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www.morganstanley.com/online/MIRates
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.6 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of
owning the related security and their total exposure to any underlying
asset. Structured Products may not perform in a manner consistent
with the statement product category where they appear and therefore
may not satisfy portfolio asset allocation needs for that category.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities are
experiencing no or limited liquidity. Therefore, the price(s) for any
Auction Rate Securities shown on this statement may not reflect the
price(s) you would receive upon a sale at auction or in a secondary
market transaction, and are not an indication of any offer to purchase
at such price.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back side of every page.
When exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
Morgan Stanley Smith Barney LLC is a member of SIPC, which protects
securities of its customers up to $500,000 (including $250,000 for
claims for cash). An explanatory brochure is available upon request or
at www.sipc.org. Losses due to market fluctuation are not protected by
SIPC and assets not held at Morgan Stanley Smith Barney LLC may not
be covered by SIPC protection. To obtain information about SIPC,
including the SIPC Brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Transaction Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Consulting Group Investment
Advisory Statuses
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research providers'
rating systems, see the expanded disclosures on your quarter-end
statement, go to www.morganstanley .com/online or refer to the
research provider's research report. Research reports contain more
complete information concerning the analyst's views and you should
read the entire research report and not infer its contents from the rating
alone. If your account contains an advisory component or is an advisory
account, CG IAR statuses apply.
Credit Ratings from Moody’s Investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 3/2014
FOIA Confidential Treatment Requested
MS-USAO-0017720
CLIENT STATEMENT I For the Period May 1 -31, 2014
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STATEMENT FOR:
ROSEMONT SENECA BOHAI, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
ROSEMONT SENECA BOHA I, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 5/31/14) $906,653.57
Includes Accrued interest
Your Private Wealth Advisor Team
SCHATZ/MOYE/MARKEY/FINNEG
212-296-6000
Your Branch
522 FIFTH AVENUE
NEW YORK, NY 10036
Telephone: 212-296-6000; Alt. Phone: 800-419-2861 ; Fax: 212-296-6320
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Int’l Collect)
Access Your Account Online: www.morganstanley.com/PWM
876-018483-380- 1 -0
MS-USAO-O017721
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 2 of 8
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(5/1 /14-5/31/14) (1 /I /14-5/31 /14)
TOTAL BEGINNING VALUE
$1,151,171.14
—
Credits
166,666.66
2,868,285.81
Debits
(411,201.26)
(1,961,682.35)
Security Transfers
—
Net Credits/Debits/Transfers
$(244,534.60)
$906,603.46
Change in Value
17.03
50.11
TOTAL ENDING VALUE $906,653.57 $906,653.57
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
Total Market Value Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net Invested Capital or Market Value made subsequent to the
dates depicted. It may also exclude transactions in Annuities or where we are not the custodian, which
could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Cash, BDP, MMFs
TOTAL VALUE
Market Value Percentage %
$906,653.57 _ 100.0
$906,653.57 100.0%
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017722
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 3 of 8
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 4/30/14)
This Period
(as of 5/31/14)
CASH FLOW
This Period
(5/1/14-5/31/14)
This Year
(1/1/14-5/31/14)
Cash, BDP, MMFs
$1,151,171.14
$906,653.57
OPENING CASH, BDP, MMFs
$1,151,171.14
--
Total Assets
$1,151,171.14
$906,653.57
Income
17.03
50.11
Total Liabilities (outstanding balance)
—
■
Total 1 nvestment Related Activity
$17.03
$50.11
TOTAL VALUE
$1,151,171.14
$906,653.57
Electronic Transfers-Credits
Electronic Transfers-Deb its
166,666.66
(399,040.00)
2,868,285.81
(1,891,340.00)
Total Cash Related Activity
$(232,373.34)
$976,945.81
Checks Written
Automated Payments
(12,161.26)
(40,000.00)
(30,342.35)
Total Card/Check Activity
$(12,161.26)
$(70,342.35)
CLOSING CASH, BDP, MMFs
$906,653.57
$906,653.57
INCOME SUMMARY
This Period
(5/1/14-5/31/14)
This Year
(1/1/14-5/31/14)
GA!N/(L0SS) SUMMARY
Realized This Period
Realized This Year
Unrealized
Inception to Date
(as of 5/31/14)
Interest
$17.03
$50.11
(5/1/14-5/31/14)
(1/1/14-5/31/14)
Total Taxable Income
$17.03
$50.11
TOTAL GAINZ(LOSS) —
—
—
Total Tax-Exempt Income
--
—
GainZ(Loss) Summary information is provided for informational purposes only and should not be used for
tax preparation. This information may change due to basis adjustments.
Refer to the Gain/(Loss) Information in the Expanded Disclosures for additional information.
TOTAL INCOME
$17.03
$50.11
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
FOIA Confidential Treatment Requested
MS-USAO-0017723
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 4 of 8
Investment Objectives? : Capital Appreciation, Aggressive income Brokerage Account
t See the Expanded Disclosures for more information about investment objectives. Please review for accuracy and inform us if your investment objectives change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis , and includes positions purchased and omits positions sold in the current month. "Market Value" and "Unrealized GainZ(Loss )" are
representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market Fixed Income securities are sorted by maturity or pre-refunding date,
and alphabetically within date. Estimated Annual Income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxe$ r if any. EAI for certain securities may
include return of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, EAI is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. Accrued interest, annual income and yield for structured products with a contingent income feature (such as Range Accrual Notes or
Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the accrued interest,
annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. New Treasury regulations require that we report on Form 1099-B , after
the close of the tax year, your adjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These regulations also require
that we make basis adjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost basis is reflected on
statements for informational purposes and should not be used in the preparation of your income tax returns. Refer to the Expanded Disclosures for additional information.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis . You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market fund
balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
Value
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
$661,653.57
245,000.00
$ 66.00
25.00
0.010
0.010
CASH, BDP, AND MMFs
Percentage
of Assets.%
ioao%
$906,653.57
Estimated
Accrued interest
$91.00
$ 0.00
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
Percentage
Unrealized
TOTAL MARKET VALUE
100 . 0 %
Tota!Co|t
$ 0.00
MarijetValue
$906,653.57
Estimated
Annual Income
Accrued interest
$91.00
$ 0.00
Yield%
0 . 01 %
TOTAL VALUE (includes accrued interest)
$906,653.57
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included.
FOIA Confidential Treatment Requested
MS-USAO-0017724
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31, 2014 PRIVATE wealth management Page 5 of 8
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments Quantity Price
Credits/(Dehits)
5/5
5/5
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 19292378
TO 876-018475
$(50,000.00)
5/13
5/13
Funds Transferred
WIRED FUNDS SENT
BENE: AMERICAN WELL CORPORATIO
ACCT: XXXXXXXX1545
(50,040.00)
5/15
5/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
5/15
5/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
5/20
5/20
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(11,022.26)
5/20
5/20
Funds Transferred
WIRED FUNDS SENT
BENE: DEVON ARCHER
ACCT: XXXXX2636
(99,000.00)
5/21
Automated Payment
Maritime Sea Ins Insurance
AUTOMATIC BILL PAYMENT
(1,139.00)
5/22
5/22
Funds Transferred
WIRED FUNDS SENT
BENE: DEVON ARCHER
ACCT: XXXX3683
(200,000.00)
5/29
5/29
Interest Income
MORGAN STANLEY BANK N.A
(Period 04/30-05/29)
13.21
5/29
5/29
1 nterest Income
MORGAN STANLEY PRIVATE BANK NA
3,82
'•••V#V»V#V»V*V#V# # iV#V«V
• •••••••••••••••••••••
'•ViVASNViSVtSSSViVf 1
(Period 04/30-05/29)
NET CREDITS/(DEBITS) $(244,517.57)
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
77/ pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Date
Paid
Activity Type
Payee
Credits/(Debits)
5/20
5/20
Automated Payment
AMEX EPayment ACH PMT
$(11,022.26)
5/21
5/21
Automated Payment
Maritime Sea Ins Insurance
(1,139.00)
TOTAL AUTOMATED PAYMENTS
$(12,161.26)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date Activity Type _ Description __ Credits/{Pebits)
5/6 Automatic Redemption BANK DEPOSIT PROGRAM $(50,000.00)
FOIA Confidential Treatment Requested
MS-USAO-0017725
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 6 of 8
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY (CONTINUED)
Date
Activity Type
Description
Credits/(Debits)
5/14
Automatic Redemption
BANK DEPOSIT PROGRAM
(50,040.00)
5/16
Automatic Investment
BANK DEPOSIT PROGRAM
166,666.66
5/20
Automatic Redemption
BANK DEPOSIT PROGRAM
(11,022.26)
5/21
Automatic Redemption
BANK DEPOSIT PROGRAM
(100,139.00)
5/23
Automatic Redemption
BANK DEPOSIT PROGRAM
(200,000.00)
5/29
Automatic Investment
BANK DEPOSIT PROGRAM
13.21
5/29
Automatic Investment
BANK DEPOSIT PROGRAM
3 82
NET ACTIVITY FOR PERIOD $(244,517.57)
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
FOIA Confidential Treatment Requested
MS-USAO-0017726
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 7 of 8
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service at (800) 869-3326 or for account-related concerns call our
Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Except as provided
in your account documentation, your statement will be deemed correct
unless we receive your written inquiry of a suspected error within 10
calendar days from the day you received your statement. See your
account documentation for special rules regarding your rights and
responsibilities with respect to erroneous electronic fund transfers,
including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR §240.15c3-2
& -3], we may use funds comprising free credit balances carried for
customer accounts here, provided that these funds are payable to
customers on demand (i.e, are free of a lien or right of set-off in our
favor or on behalf of some third party to whom you have given control).
A financial statement of this organization is available for your personal
inspection at its offices, or a copy will be mailed to you upon your
written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Margin Privileges (not available for certain accounts such as IRAs or
retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) Multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) Divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www.morganstanley.com/online/MIRates
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.6 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of
owning the related security and their total exposure to any underlying
asset. Structured Products may not perform in a manner consistent
with the statement product category where they appear and therefore
may not satisfy portfolio asset allocation needs for that category.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities are
experiencing no or limited liquidity. Therefore, the price(s) for any
Auction Rate Securities shown on this statement may not reflect the
price(s) you would receive upon a sale at auction or in a secondary
market transaction, and are not an indication of any offer to purchase
at such price.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back side of every page.
When exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
Morgan Stanley Smith Barney LLC is a member of SIPC, which protects
securities of its customers up to $500,000 (including $250,000 for
claims for cash). An explanatory brochure is available upon request or
at www.sipc.org. Losses due to market fluctuation are not protected by
SIPC and assets not held at Morgan Stanley Smith Barney LLC may not
be covered by SIPC protection. To obtain information about SIPC,
including the SIPC Brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Transaction Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Consulting Group Investment
Advisory Statuses
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research providers'
rating systems, see the expanded disclosures on your quarter-end
statement, go to www.morganstanley .com/online or refer to the
research provider's research report. Research reports contain more
complete information concerning the analyst's views and you should
read the entire research report and not infer its contents from the rating
alone. If your account contains an advisory component or is an advisory
account, CG IAR statuses apply.
Credit Ratings from Moody’s Investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 3/2014
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PRIVATE WEALTH MANAGEMENT
Page 8 of 8
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MS-USAO-0017728
CLIENT STATEMENT I For the Period June 1 -30, 2014
STATEMENT FOR:
ROSEMONT SENECA BOHAI, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
ROSEMONT SENECA BOHA I, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 6/30/14) $928,801.62
Includes Accrued interest
Your Private Wealth Advisor Team
SCHATZ/MOYE/MARKEY/FINNEG
212-296-6000
Your Branch
522 FIFTH AVENUE
NEW YORK, NY 10036
Telephone: 212-296-6000; Alt. Phone: 800-419-2861 ; Fax: 212-296-6320
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Int’l Collect)
Access Your Account Online: www.morganstanley.com/PWM
876-018483-380- 1 -0
MS-USAO-0017729
CLIENT STATEMENT I For the Period June 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 2 of 8
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(6/1 /14-6/30/14) (1 /I /14-6/30/14)
TOTAL BEGINNING VALUE
$906,653.57
—
Credits
227,621.20
3,095,907.01
Debits
(205,480.15)
(2,167,162.50)
Security Transfers
—
—
Net Credits/Debits/Transfers
$22,141.05
$928,744.51
Change in Value
7.00
57.11
TOTAL ENDING VALUE $928,801.62 $928,801.62
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
Total Market Value Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net Invested Capital or Market Value made subsequent to the
dates depicted. It may also exclude transactions in Annuities or where we are not the custodian, which
could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Cash, BDP, MMFs
TOTAL VALUE
Market Value Percentage %
$928,801.62 _ 100.0
$928,801.62 100.0%
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
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MS-USAO-0017730
CLIENT STATEMENT I For the Period June 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 3 0 f g
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 5/31/14)
This Period
(as of 6/30/14)
CASH FLOW
This Period
(6/1/14-6/30/14)
This Year
(1/1/14 6/30/14)
Cash, BDP, MMFs
$906,653.57
$928,801.62
OPENING CASH, BDP, MMFs
$906,653.57
--
Total Assets
$906,653.57
$928,801.62
Income
7.00
57.11
Total Liabilities (outstanding balance)
—
■
Total 1 nvestment Related Activity
$7.00
$57.11
TOTAL VALUE
$906,653.57
$928,801.62
Electronic Transfers-Credits
Electronic Transfers-Deb its
227,621.20
(161,000.00)
3,095,907.01
(2,052,340.00)
Total Cash Related Activity
$66,621.20
$1,043,567.01
Checks Written
Automated Payments
(3,499.00)
(40,981.15)
(43,499.00)
(71,323.50)
Total Card/Check Activity
$(44,480.15)
$(114,822.50)
CLOSING CASH, BDP, MMFs
$928,801.62
$928,801.62
INCOME SUMMARY
This Period
(6/1/14-6/30/14)
This Year
(1/1/14-6/30/14)
GA!N/(LOSS) SUMMARY
Realized This Period
Realized This Year
Unrealized
Inception to Date
(as of 6/30/14)
Interest
$7.00
$57.11
(6/1/14 6/30/14)
(1/1/14-6/30/14)
Total Taxable Income
$7.00
$57.11
TOTAL GAINZ(LOSS) —
—
—
Total Tax-Exempt Income
—
—
GainZ(Loss) Summary information is provided for informational purposes only and should not be used for
tax preparation. This information may change due to basis adjustments.
Refer to the Gain/(Loss) Information in the Expanded Disclosures for additional information.
TOTAL INCOME
$7.00
$57.11
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
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MS-USAO-O017731
CLIENT STATEMENT I For the Period June 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 4 0 f g
Investment Objectives?: Capital Appreciation, Aggressive income Brokerage Account
t See the Expanded Disclosures for more information about investment objectives. Please review for accuracy and inform us if your investment objectives change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value" and "Unrealized GainZ(Loss )" are
representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market Fixed Income securities are sorted by maturity or pre-refunding date,
and alphabetically within date. Estimated Annual Income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxe$ r if any. EAI for certain securities may
include return of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, EAI is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. Accrued interest, annual income and yield for structured products with a contingent income feature (such as Range Accrual Notes or
Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the accrued interest,
annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. New Treasury regulations require that we report on Form 1099-B , after
the close of the tax year, your adjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These regulations also require
that we make basis adjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost basis is reflected on
statements for informational purposes and should not be used in the preparation of your income tax returns. Refer to the Expanded Disclosures for additional information.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis . You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market fund
balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
Value
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
$683,801.62
245,000.00
$ 68.00
25.00
0.010
0.010
CASH, BDP, AND MMFs
Percentage
of Assets.%
ioao%
••iViSViVriVtViViViViViSViViSViViViVtViViViNVtSSViSSViSVfViViViVtSViNViViSSViViVtViVtViVfSV
m&mmm
$928,801.62
Estimated
Accrued interest
$93.00
$ 0.00
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
Percentage
Unrealized
TOTAL MARKET VALUE
100.0%
Tota!Co|t
$ 0.00
Marken/alue
$928,801.62
Estimated
Annual Income
Accrued interest
$93.00
$0.00
Yield%
0 . 01 %
TOTAL VALUE (includes accrued interest)
$928,801.62
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included.
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CLIENT STATEMENT I For the Period June 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 5 0 f g
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
6/2
6/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 19961898
TO 876-018475
$(6,000.00)
6/5
6/5
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(15,000.00)
6/6
6/6
Automated Payment
BankoftheWest BOWLOAN PAY
AUTOMATIC BILL PAYMENT
(1,335.48)
6/9
6/9
Funds Transferred
WIRED FUNDS SENT
BENE: MECUM AUCTION INC
ACCT: XXXXX3448
(105,000.00)
6/10
6/16
Check
THE WOLFF LAW FIRM
Check# 1028
(3,499.00)
6/13
6/13
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
( 10 , 000 . 00 )
6/17
6/17
6/17
6/17
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
83,333.33
6/18
6/18
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
60,954.54
6/20
6/20
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(39,645.67)
6/23
6/23
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(25,000.00)
6/27
6/27
6/27
6/27
Interest Income
MORGAN STANLEY BANK N.A
(Period 05/30-06/27) _
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 0.5/3.0:06/27)
5.05
1.95
NET CREDITS/(DEBITS)
$22,148.05
DEBIT CARD & CHECKING ACTIVITY
CHECKS WRITTEN
Date
Date
Paid
Check Number
Activity Type
Payee
Expense Category
Credits/CDebits)
6/10
6/16
1028
Check
THE WOLFF LAW FIRM
$(3,499.00)
TOTAL CHECKS WRITTEN
$(3,499.00)
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MS-USAO-0017733
CLIENT STATEMENT I For the Period June 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age $ of 8
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Date
Paid
Activity Type
Payee
Credits/(Debits)
6/6
6/6
Automated Payment
BankoftheWest BOWLOAN PAY
$(1,335.48)
6/20
6/20
Automated Payment
AMEX EPayment ACH PMT
(39,645.67)
TOTAL AUTOMATED PAYMENTS
$( 40 , 981 . 15 )
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date Activity Type
Des cription
Credits/(Debifs)
6/3 Automatic Redemption
BANK DEPOSIT PROGRAM
$(6,000.00)
6/6 Automatic Redemption
;ank deposit program
(16,335.48)
6/10 Automatic Redemption
1ANK DEPOSIT PROGRAM
(105,000.00)
6/16 Automatic Redemption
•ANK DEPOSIT PROGRAM
(13,499.00)
6/18 Automatic Investment
ANK DEPOSIT PROGRAM
166,666.66
6/19 Automatic Investment
BANK DEPOSIT PROGRAM
60,954.54
6/20 Automatic Redemption
;ANK DEPOSIT PROGRAM
(39,645.67)
6/24 Automatic Redemption
BANK DEPOSIT PROGRAM
(25,000.00)
6/27
6/27
Automatic Investment
BANK DEPOSIT PROGRAM
5.05
Automatic Investment
BANK DEPOSIT PROGRAM
1 95
NET ACTIVITY FOR PERIOD
$22,148.05
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
Important Information Regarding the Bank Deposit Program
The Bank Deposit Program ("BDP") currently credits interest on the second to last business day of the month, Beginning in September 2014, interest will be credited on the last business day of the month. There
will be no change to your current eligible credited interest rate or any of the other terms and conditions of the program. For more information regarding BDP, please refer to the BDP disclosure document at:
www, morganstanley.com/wealth/services/pdfs/BDP_disclosure.pdf
Sign up for ©Delivery of your Statements Today
Would you like to receive your Statements and other documents faster, more securely and with the added benefit of reducing paper mail? Simply visit www.morganstanley.com/edelivery to set your eDelivery
preferences today. Please note, if you have not already, you will first need to register for Morgan Stanley Online to make your eDelivery selections.
FOIA Confidential Treatment Requested
MS-USAO-0017734
Morgan Stanley
CLIENT STATEMENT I For the Period June 1 -30, 2014 PRIVATE WEALTH MANAGEMENT Page 7 of 8
Expanded Disclosures, which apply to all statements Morgan Stanley
Smith Barney LLC (we/us) sends to you, are provided with your first
statement and thereafter twice a year.
Questions?
Questions regarding your account may be directed to either your
Financial Advisor or the Branch Manager for the branch office where
you maintain your account, If you require further assistance, call the
Client Service Center at (800) 869-3326 or for account-related
concerns contact our Client Advocate at (866) 227-2256 or via U.S.
mail at P.0, Box 95002, South Jordan, Utah 84095.
Errors and inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re-confirmed in writing to further protect your rights, including rights
under the Securities investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered,
Account Valuation
Account values are computed by adding (1) the market value of all
priced positions and (2) market values provided by pricing services
and/or outside custodians, as applicable for other positions, and by
adding any credit or subtracting any debit to your closing Cash, Money
Market Funds and/or Deposit balance. Cash, Deposits and Money
Market Funds are displayed on a settlement date basis, and other
positions are displayed in your account on a trade date basis. The
values of fixed income positions in summary displays include accrued
interest in the totals. In the "Holdings" section, fixed income market
value and accrued interest are also displayed in separate columns.
Accrued interest is the interest earned but not yet paid on the bond
since its last interest payment. In most cases, it is calculated from the
date of the last coupon payment (or "dated date") through the
closing date of the statement. Foreign Currency Deposits are reflected
in U.S. dollars as of the statement end date. The Annual Percentage
Yield (APY) for deposits represents the applicable rate in effect for your
deposits at the statement ending date. This APY may be different than
the APY that was in effect during the statement period. For current
Bank Deposit or Money Market Fund yields, go to
www, morga nsta n I ey individual. com/Accou ntO ptions/Active Assets/1 n vest
mentFeatures.
Additional BRA information
IRA contributions are subject to IRS eligibility rules and regulations.
The "Max. Individual Contributions Allowed (by SSN)" reflects the
annual limit on contributions that you can make to IRAs (Traditional,
Roth, SEP, and SARSEP). The limit applies on a per person basis, not
per account. The Contributions information included in this statement
pertains to a particular account, without reference to any other IRA.
You cannot make an individual contribution to a Traditional IRA for the
year in which you reach age 70 1/2 or later. Other special rules may
apply; e g., in conversions or recharacterizations of Traditional to Roth,
Roth to Traditional IRAs. Check with your tax advisor to verify how
much you can contribute, whether or not the contribution will be tax
deductible, and whether other special rules may apply. The
categorization of any deductibility is based upon information provided
by you and is included for your convenience. Contact your Financial
Advisor if this information is incorrect. The account value used for your
Required Minimum Distribution calculation is based on your account's
prior December 31st Account Value, including accrued interest. This
information is not intended to constitute tax, legal or accounting advice.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Gain/(Loss) Information
Gain/(Loss) is provided for informational purposes. It is not a substitute
for Internal Revenue Service (IRS) Form 1099 (on which we report cost
basis for covered securities) or any other IRS tax form. It is not
intended to be, nor should it be used for tax preparation. Unrealized
Gain/(Loss) provided on this statement is an estimate. Contact your
own independent legal or tax advisor to determine the appropriate use
of the Gain/(Loss) information on this statement. For more information,
go to www.morganstanley.com/wealth/disclosures/disclosures.asp, or
call Client Service Center.
Tax Reporting
Under Federal Income Tax law, we are required to report the gross
proceeds of sales transactions (including entering into short sales) to
you on Form 1099-B by February 15 of the year following the calendar
year of the transaction for reportable (i.e. non-retirement) accounts. For
the sale of certain securities acquired on or after January 1, 2011 we
are required to report additional transaction information on Form
1099-B. The information reported on your Form 1099-B for the
calendar year should be exclusively relied upon for the purpose of filing
your tax return for the year. Under U.S. Internal Revenue Service
regulations, if you have not provided us with a certification of either
U.S. or foreign status on an appropriate Form W-9 or W-8, your
accounts may be subject to either 28% back-up withholding or 30%
nonresident alien withholding, as applicable, on payments made to
your accounts.
Investment Objectives
The following is an explanation of the investment objective alternatives
applicable to your account(s): Income - for investors seeking regular
income with low to moderate risk to principal; Capital Appreciation - for
investors seeking capital appreciation with moderate to high risk to
principal; Aggressive Income - for investors seeking higher returns either
as growth or as income with greater risk to principal; Speculation - for
investors seeking high profits or quick returns with considerable
possibility of losing most or all of their investment.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Customer(not available for
certain accounts such as IRAs or retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral. The amount
you may borrow is based on the value of eligible securities in your
margin accounts. If a security has eligible shares the number of shares
pledged as collateral is indicated below the position. If you have a
margin account, as permitted by law, we may use certain securities in
your account for, among other things, settling short sales or lending the
securities for short sales, for which we may receive compensation.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www.morganstanley.com/online/MIRates,
information regarding Special Memorandum Account
CONTINUED
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MS-USAO-0017735
CLIENT STATEMENT I For the Period June 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH MAN AGE IV! ENT p age g 0 f g
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220,5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Money Market Fund (MMF) Pricing
An investment in a MMF is neither insured nor guaranteed by the
Federal Deposit Insurance Corporation (FDIC) or any other government
agency. Although MMFs seek to preserve the value of your investment
at $1 00 per share, there can be no assurance that will occur and it is
possible to lose money should the fund value per share fall. In some
circumstances MMFs may cease operations when the value of a fund
drops below $1.00 per share. In that event, the fund's holdings would
be liquidated and distributed to the fund's shareholders. This process
could take up to one month or more. During that time, these funds
would not be available to you to support purchases, withdrawals, and if
applicable, check writing or ATM debits from your account.
Notice Regarding Investment Advisor Research
Morgan Stanley's Consulting Group Investment Advisor Research
conducts research on various mutual funds and exchange-traded funds
for clients holding those funds in certain investment advisory programs,
If you have invested in any of these funds in another type of account,
such as a brokerage account, you will not receive the same research
materials and status updates on the funds as we provide to investment
advisory clients (including instructions on selling fund shares).
Pricing of Securities
The prices of securities are derived from various sources, and do not
necessarily represent the prices at which those securities could have
been bought or sold. Although we attempt to use reliable sources of
information, we can offer no assurance as to their accuracy. Prices of
securities not actively traded may not be available, and are indicated
by N/A (not available), For additional information on how we price
securities, go to
www morganstanley .com/wealth/disclosures/disclosures.asp.
important Information About Auction Rate Securities
For certain Auction Rate Securities there is no or limited liquidity.
Therefore, the price(s) for any Auction Rate Securities shown may not
reflect the price(s) you would receive upon a sale at auction or in a
secondary market transaction, and is not an indication of any offer to
purchase at such price. There can be no assurance that a successful
auction will occur or that a secondary market exists or will develop for
a particular security. The prices of any Auction Rate Securities in most
cases reflect par value, but may be derived from various sources. These
prices may differ from: prices provided to us or our affiliates by outside
pricing services; our affiliates' own internal bookkeeping valuations;
prices of transactions executed in any secondary market that exists or
may develop; and/or the prices at which issuer repurchases or
redemptions may occur.
Special Considerations Regarding Structured Investments
Structured Investments are complex products and may be subject to
special risks, which may include, but are not limited to: loss of initial
investment; issuer credit risk and price volatility resulting from any
actual or anticipated changes to issuer's and/or guarantor's credit
ratings or credit spreads; limited or no appreciation and limits on
participation in any appreciation of underlying asset(s); risks associated
with the underlying reference asset(s); no periodic payments; call prior
to maturity; early redemption fees for market linked deposits; lower
interest rates and/or yield compared to conventional debt with
comparable maturity; unique tax implications; limited or no secondary
market; and conflicts of interest due to affiliation, compensation or
other factors which could adversely affect market value or payout to
investors. Investors also should consider the concentration risk of
owning the related security and their total exposure to any underlying
asset. Structured Investments may not perform in a manner consistent
with the statement product category where they appear and therefore
may not satisfy portfolio asset allocation needs for that category.
Accrued interest, estimated annual income and estimated yield for
Structured Investments with a contingent income feature, including
Range Accrual Notes and Contingent Income Notes, assume optimal
performance of the underlying asset(s) and payment in full of all
contingent interest. However, contingent interest is only paid if the
specified accrual conditions are met during the relevant observation
period. Actual accrued interest, annual income and yield will be
dependent upon the performance of the underlying asset(s) and may be
significantly lower than the estimates shown, For more information
about the risks specific to your Structured Investments, you should
contact your Financial Advisor,
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back side of every page.
When exposed to warmth, the blue rectangle will disappear, and then
reappear.
Si PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SI PC protection. To obtain information about SI PC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Certain Assets Not Held at Morgan Stanley Smith Barney LLC
You may purchase certain assets through us that may be held at
another financial institution. Assets not held with us may not be
covered by SIPC protection. We may include information about certain
of these assets on this statement solely as a service to you and are not
responsible for any information provided by external sources. Generally,
any financial institution that holds securities is responsible for year-end
reporting (1099s) and separate periodic statements, which may vary
from our information due to different tax reporting periods. In the case
of networked mutual funds, we perform all year-end tax reporting.
Under certain circumstances, such as IRA accounts, we perform all tax
reporting.
Total Income
Total income, as used in the income summaries, represents dividends
and/or interest on securities we receive on your behalf and credit to
your account(s) during the calendar year. We report dividend
distributions and taxable bond interest credited to your account to the
Internal Revenue Service. The totals we report may differ from those
indicated as "This Year" figures on the last statement for the calendar
year. In the case of Real Estate Investment Trusts (REITs), Master
Limited Partnerships, Regulated investment Companies and Unit
Investment Trusts, some sponsors may reclassify the distribution to a
different tax type for year-end reporting.
Transaction Dates and Conditions
Transactions display trade date and settlement date. Transactions are
included on this statement on trade date basis (excluding BDP and
MMFs). Trades that have not settled as of statement month end will
also be displayed in the "Unsettled Purchases/Sales Activity" section.
Upon written request, we will give you the date and time of a
transaction and the name of the other party to a transaction. We and/or
our affiliates may accept benefits that constitute payment for order
flow. Details regarding these benefits and the source and amount of
any other remuneration received or to be received by us in connection
with any transaction will be furnished upon written request.
US. Treasury Circular 230 Disclosure
We do not render advice on tax and tax accounting matters to clients.
The information provided herein was not intended or written to be
used, and it cannot be used, by any taxpayer, for the purpose of
avoiding penalties that may be imposed on the taxpayer under US
fed era i tax laws.
Revised 06/2014
FOIA Confidential Treatment Requested
MS-USAO-0017736
CLIENT STATEMENT I For the Period July 1 -31, 2014
STATEMENT FOR:
ROSEMONT SENECA BOHAI, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
ROSEMONT SENECA BOHA I, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 7/31/14) $882,357.71
Includes Accrued interest
Your Private Wealth Advisor Team
SCHATZ/MOYE/MARKEY/FINNEG
212-296-6000
Your Branch
522 FIFTH AVENUE
NEW YORK, NY 10036
Telephone: 212-296-6000; Alt. Phone: 800-419-2861 ; Fax: 212-296-6320
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Int’l Collect)
Access Your Account Online: www.morganstanley.com/PWM
876-018483-380- 1 -0
MS-USAO-0017737
Morgan Stanley
CLIENT STATEMENT I For the Period July 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 2 of 8
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(7/1 /14-7/31/14) (1 /I /14-7/31/14)
TOTAL BEGINNING VALUE
$928,801.62
—
Credits
166,667.07
3,262,574.08
Debits
(213,119.25)
(2,380,281.75)
Security Transfers
■
——
Net Credits/Debits/Transfers
$(46,452.18)
$882,292.33
Change in Value
8.27
65.38
TOTAL ENDING VALUE $882,357.71 $882,357.71
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capital (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net Invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Cash, BDP, MMFs
TOTAL VALUE
Market Value Percentage %
$882,357.71 _ 100.0
$882,357.71 100.0%
This ailocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017738
Morgan Stanley
CLIENT STATEMENT I For the Period July 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 3 of 8
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 6/30/14)
This Period
(as of 7/31/14)
CASH FLOW
This Period
(7/1/14-7/31/14)
This Year
(1/1/14 7/31/14)
Cash, BDP, MMFs
$928,801.62
$882,357.71
OPENING CASH, BDP, MMFs
$928,801.62
—
Total Assets
$928,801.62
$882,357.71
Income
8.27
65.38
Total Liabilities (outstanding balance)
—
■
Total Investment Related Activity
$8.27
$65.38
TOTAL VALUE
$928,801.62
$882,357.71
Electronic Transfers-Credits
Electronic Transfers-Debits
166,667.07
(156,710.36)
3,262,574.08
(2,209,050.36)
Total Cash Related Activity
$9,956.71
$1,053,523.72
Checks Written
Automated Payments
(56,408.89)
(43,499.00)
(127,732.39)
Total Card/Check Activity
$(56,408.89)
$(171,231.39)
CLOSING CASH, BDP, MMFs
$882,357.71
$882,357.71
INCOME SUMMARY
This Period
(7/1/14-7/31/14)
This Year
(1/1/14-7/31/14)
GAINZ(LOSS) SUMMARY
Realized This Period
Realized This Year
Unrealized
Inception to Date
(as of 7/31/14)
Interest
$8.27
$65.38
(7/1/14-7/31/14)
(1/1/14-7/31/14)
Total Taxable income
$8.27
$65.38
TOTAL GAINZ(LOSS) —
—
—
Total Tax-Exempt Income
—
—
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
TOTAL INCOME
$8.27
$65.38
fjuifjustts auu snuuiu nut uu usuu iui tax fjiufjdi auuu.
n&iut lu u am/[ lux*/ in uiu nxfjdnuuu visliususvs.
Taxable and tax exempt Income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
FOIA Confidential Treatment Requested
MS-USAO-0017739
Morgan Stanley
CLIENT STATEMENT I For the Period July 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 4 of 8
Investment Objectives*: Capital Appreciation, Aggressive income
t Inform us If your investment objectives, as defined in the Expanded Disclosures, change.
Brokerage Account
HOLDINGS
This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value " and "Unrealized Gain/(Loss)" are
representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market. Fixed Income securities are sorted by maturity or pre-refunding date,
and alphabetically within date. Estimated Annual Income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxes, if any. EAi for certain securities may
include return of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, EAI is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. Accrued interest, annual income and yield for structured products with a contingent income feature (such as Range Accrual Notes or
Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the accrued interest,
annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accruai period. New Treasury regulations require that we report on Form 1099-B, after
the close of the tax year, your adjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These regulations also require
that we make basis adjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost basis is reflected on
statements for informational purposes and should not be used in the preparation of your income tax returns. Refer to the Expanded Disclosures for additional information.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market fund
balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
Value
Estimated Annual Income
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
$637,357.71
245,000.00
$64 00
25.00
0.010
0.010
CASH, BDP, AND MMFs
Percentage
of Assets %
ioo!o%
••••WiV#Wh # iVk i *vhw« , iV« , kw« , iV«%W«%W« , k , «vkw«V«W*V^^
MMXSm
$882,357.71
Estimated
AnnuaHnoamfi
Accrued Interest
$89.00
$ 0.00
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
Percentaae
of Assets
TOTAL MARKET VALUE
100 . 0 %
TotalGogt
$ 0.00
MarkeHfalue
$882,357.71
Unrealized
Gain/i
Estimated
AnnuaUiKome
Accrued Interest
$89.00
$ 0.00
Yield %
0 . 01 %
TOTAL VALUE (includes accrued interest) $ 882 , 357.71
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included.
FOIA Confidential Treatment Requested
MS-USAO-0017740
Morgan Stanley
CLIENT STATEMENT I For the Period July 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 5 of 8
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
7/8
7/8
Automated Payment
BankoftheWest BOWLOAN PAY
AUTOMATIC BILL PAYMENT
$(1,338.48)
7/10
7/10
Funds Transferred
WIRED FUNDS SENT
BENE: ROSEMONT SELECT OPPORTUN
ACCT: XXXXXX7736
(83,500.00)
7/11
7/11
Funds Transferred
WIRED FUNDS SENT
BENE: THOMAS M KNOLES IV
ACCT: XXXXXX2821
(6,000.00)
7/11
7/11
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(5,000.00)
7/11
7/11
Funds Transferred
WIRED FUNDS SENT
BENE: DEANNE ADAMSON
ACCT: XXXXXX2356
(4,500.00)
7/14
7/14
Funds Transferred
WIRED FUNDS SENT
BENE: KEVIN J PETERSON INC
ACCT: XXXXXX1992
(17,710.36)
7/15
7/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
7/15
7/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
7/18
7/18
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(20,000.00)
7/21
7/21
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(49,481.26)
7/23
7/23
Funds Received
BANK OF AMERICA
ACCT CNFRM
0.27
7/23
7/23
Funds Received
BANK OF AMERICA
ACCT CNFRM
0.14
7/23
7/23
Automated Payment
BANK OF AMERICA ACCT CNFRM
AUTOMATIC BILL PAYMENT
(0.41)
7/24
7/24
Automated Payment
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
(5,588.74)
7/29
7/29
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(20,000.00)
7/30
7/30
Interest Income
MORGAN STANLEY BANK N.A.
(Period 06/28-07/30)
6.05
7/30
7/30
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 06/28-07/30)
2 22
NET CREDITS/(DEB!TS)
$(46,443.91)
FOIA Confidential Treatment Requested
MS-USAO-O017741
CLIENT STATEMENT
For the Period July 1-31, 2014
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 6 of 8
'00000000000000900000000000000000000000000000000000000
• W99tW09*W99tWW»»99WtW009099t9999999t999909»990999W»99
'.S^^SV^V.Wy^W^W^V^y.SW.SW.SW.W.V.V.VlV.V.
'90099009909990099099009990099000900990009000900900000
000900090009000909090099000909090009009900999009099900
• 000000000 9 0 0
■ HHHPIHH
• rrrtrrrirfrt
9990999999909999999999
9999999999999999999999
9099999999999999099009
9009900990099009900990
0090099000900090900900
SSSSSSSSSSSSSSSSSSSSSS
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000000000000000000009000
000009000900090009000900
009000000000000000000009
000009000900090000000900
>>X'XwWvXWX%v'X%%
0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0* 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0*0 9 0* 0 9 0*0 9 0* 0 9 0*0 9 0* 0 9 0*0 9
900090009000000090000000900000009000000
000000000000000000000090000000000090000
000000000000000000000000000000000000000 *
0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0* 0 9 0* 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0* 0 9 0 9 0 9 0 9 0 9
009900900090009000909090009000900000009
000000000000000000000000000000000000000
900900090009000900090009000000000000000
000000000000000000000000000000000000000
009900900090009000900090009000900090009
000000000000000000000000000000000000000
9* 9* 9* 9* 9* 0* 0* 9* 0* 9* 0* 0* 0* 9* 9* 0* 9* 9* 9* 9* 9* 0* 9* 9* 9* 9* 0* 9* 9* 9* 0* 9* 9* 9* 0* 9* 9* 9* 0*
9 0 0 0 0 0 ra 00000000 9000900090009000 00000000009000000
• 0 0 0 r0 ^ 0 0 0 0 0 0 0 0 IHJf •»*•#*#• «| 0 0 0 0 0 099000900009090 B*
Active Assets Account
*••**••**••**•***••**••**•***•**•••*••***•***••**•***••*
%V//AV//.V//.V*V//AV
000009000900090009000900090009000900090099000900990000
'000009000090000000000000090000900900000000900000009000
000909090000000000090000000990000000900090000909900990
0 U 09000000000009 0 0090099999000900 ^T 0 000909000000
wmmmmwmm
00099900090999’
vlvjl'/W'/rjiik'
v.vX vK v JC '-111
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Payment
7/8
7/21
7/23
7/24
Date
Paid
7/8
7/21
7/23
7/24
Activity T
Automated Payment
Automated Payment
Automated Payment
Automated Payment
Payee
BankoftheWest B0WL0AN PAY
AMEX EPayment ACH PMT
BANK OF AMERICA ACCT CNFRM
BANK OF AMERICA ONLINE PMT
Credits/(Debits
$(1,338.48'
49,481.26)
(0.41)
TOTAL AUTOMATED PAYMENTS
$(56,408.89)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Credits/(Debits)
$(1,338.48)
(83,500.00)
(15,500.00)
(17,710.36)
166,666.66
(69,481.26)
(5,588.74)
6.05
2.22
( 20 , 000 . 00 )
NET ACTIVITY FOR PERIOD $(46,443.91)
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
Morgan Stanley Debit Card Transactions Now itemized by Individual Cardholder on Statement
Beginning with this statement, you will see Morgan Stanley Debit Card transaction activity itemized by individual Cardholders under the "Debit Card Activity" section. Soon, transactions itemized by individual
Cardholder will also be available to view on Morgan Stanley Online at www.morganstanley.com/online. Please contact your Financial Advisor or Private Wealth Advisor if you have any questions regarding this update.
Date Activity Type
7/8 Automatic Redemption
7/11 Automatic Redemption
7/14 Automatic Redemption
7/15 Automatic Redemption
7/16 Automatic Investment
7/21 Automatic Redemption
7/24 Automatic Redemption
7/30 Automatic Investment
7/30 Automatic Investment
7/30 Automatic Redemption
Description _
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
FOIA Confidential Treatment Requested
MS-USAO-0017742
Morgan Stanley
CLIENT STATEMENT I For the Period July 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 7 of 8
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain accounts such as IRAs or retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morga nstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities are
experiencing no or limited liquidity. Therefore, the price(s) for any
Auction Rate Securities shown on this statement may not reflect the
price(s) you would receive upon a sale at auction or in a secondary
market transaction, and are not an indication of any offer to purchase
at such price.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Products may not perform in a manner consistent with the
statement product category where they appear and therefore may not
satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark--a blue
rectangle printed in heat-sensitive ink on the back side of every page.
When exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Consulting Group Investment
Advisory Statuses
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
provider’s opinions and not representations or guarantees of
performance. For more information about each research provider's
rating systems, see the Research Ratings and CG IAR Status Definitions
on your most recent June or December statement (or your first
statement if you have not received a statement for those months), go to
www morganstanley .com/online or refer to the research provider's
research report. Research reports contain more complete information
concerning the analyst’s views and you should read the entire research
report and not infer its contents from the rating alone. If your account
contains an advisory component or is an advisory account, CG IAR
statuses apply.
Credit Ratings from Moody’s Investors Service and Standard & Poor’s
The credit rating from Moody's Investors Service and Standard & Poor's
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Revised 07/2014
FOIA Confidential Treatment Requested
MS-USAO-0017743
PRIVATE WEALTH MANAGEMENT
Page 8 of 8
This page intentionally left blank
FOIA Confidential Treatment Requested
MS-USAO-0017744
Morgan Stanley
CLIENT STATEMENT I For the Period August 1-31, 2014 PRIVATE WEALTH MANAGEMENT
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0.000000000000000000000000000000000000
00.00000000000000000000000000000000000
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9 9 0 0.
0 0 0 0
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■ 0 0 0
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■ 0 0 0
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■ 9 0 0
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■ 0 0 0
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STATEMENT FOR: TOTAL VALUE OF YOUR ACCOUNT (as of 8/31/14) $2,176,238.22
ROSEMONT SENECA BOHAI, LLC Includes Accrued Interest
CIO DEVON ARCHER
Morqan Stanley Private Wealth Manaqement, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
Your Private Wealth Advisor Team
SC HATZ/MOY E/M ARKE Y/FIN N EG
212-296-6000
Your Branch
522 FIFTH AVENUE
NEW YORK, NY 10036
Telephone: 212-296-6000; Alt. Phone: 800-419-2861 ; Fax: 212-296-6320
#BWNJGWM
ROSEMONT SENECA BOHA I, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Inti Collect)
Access Your Account Online: www.morganstanley.com/PWM
76 - 018483 - 380 1 - 0
FOIA Confidential Treatment Requested
MS-USAO-0017745
Morgan Stanley
CLIENT STATEMENT I For the Period August 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 2 of 8
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(8/1 /14-8/31/14) (1 /I /14-8/31 /14)
TOTAL BEGINNING VALUE
$882,357.71
—
Credits
1,502,166.66
4,764,740.74
Debits
(208,301.04)
(2,588,582.79)
Security Transfers
—
—
Net Credits/Debits/Transfers
$1,293,865.62
$2,176,157.95
Change in Value
14.89
80.27
TOTAL ENDING VALUE
$2,176,238.22
$2,176,238.22
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capital (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Cash, BDP, MMFs
TOTAL VALUE
Market Value Percentage %
$2,176,238.22 _ 100.0
$2,176,238.22 100.0%
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017746
Morgan Stanley
CLIENT STATEMENT I For the Period August 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 3 of 8
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 7/31/14)
This Period
(as of 8/31/14)
CASH FLOW
This Period
(8/1/14-8/31/14)
This Year
(1/1/14 8/31/14)
Cash, BDP, MMFs
$882,357.71
$2,176,238.22
OPENING CASH, BDP, MMFs
$882,357.71
—
Total Assets
$882,357.71
$2,176,238.22
Income
14.89
80.27
Total Liabilities (outstanding balance)
.
.
Total Investment Related Activity
$14.89
$80.27
TOTAL VALUE
$882,357.71
$2,176,238.22
Electronic Transfers-Credits
Electronic Transfers-Debits
1,502,166.66
(190,500.00)
4,764,740.74
(2,399,550.36)
Total Cash Related Activity
$1,311,666.66
$2,365,190.38
Checks Written
Automated Payments
(17,801.04)
(43,499.00)
(145,533.43)
Total Card/Check Activity
$(17,801.04)
$(189,032.43)
CLOSING CASH, BDP, MMFs
$2,176,238.22
$2,176,238.22
INCOME SUMMARY
This Period
(8/1/14-8/31/14)
This Year
(1/1/14-8/31/14)
GAINZ(LOSS) SUMMARY
Realized This Period
Realized This Year
Unrealized
Inception to Date
(as of 8/31/14)
Interest
$14.89
$80.27
(8/1/14-8/31/14)
(1/1/14-8/31/14)
Total Taxable income
$14.89
$80.27
TOTAL GAINZ(LOSS) —
—
—
Total Tax-Exempt Income
—
—
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informations!
TOTAL INCOME
$14.89
$80.27
fjuifjustts auu snuuiu nut uu usuu iui tax fjiufjdi auuu.
n&iut lu u am/[ lux*/ in uiu nxfjdnuuu visliususvs.
Taxable and tax exempt Income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
FOIA Confidential Treatment Requested
MS-USAO-O017747
CLIENT STATEMENT I For the Period August 1 -31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 4 0 f g
Investment Objectives*: Capital Appreciation, Aggressive income
t Inform us If your investment objectives, as defined in the Expanded Disclosures, change.
Brokerage Account
HOLDINGS
This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value" and "Unrealized Gain/(Loss)” are
representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market. Fixed Income securities are sorted by maturity or pre-refunding date,
and alphabetically within date. Estimated Annual Income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxes, if any. EAI for certain securities may
include return of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, EAI is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. Accrued interest, annual income and yield for structured products with a contingent income feature (such as Range Accrual Notes or
Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the accrued interest,
annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. Treasury regulations require that we report on Form 1099-B, after the
close of the tax year, your adjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These regulations also require
that we make basis adjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost basis is reflected on
statements for informational purposes and should not be used in the preparation of your income tax returns. Refer to the Expanded Disclosures for additional information.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market fund
balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
Value
Estimated Annual Income
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
$1,931,238.22
245,000.00
$386 00
49.00
0.020
0.020
CASH, BDP, AND MMFs
Percentage
of Assets %
*•*■*•*•*•*•*•*•*•*•*•*•*•*•*■*•*•*•*■*1
TOO.6%
WmMMM-
$2,176,238.22
Estimated
Annual Income
Accrued Interest
$435.00
$0.00
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
Percentaae
of Assets
TOTAL MARKET VALUE
100.0%
TotalGost
$ 0.00
MarkeHfalue
$2,176,238.22
Unrealized
Gain/i
Estimated
AnnuaUiKome
Accrued Interest
$435.00
$ 0.00
Yield %
0 . 02 %
TOTAL VALUE (includes accrued interest) $2,176,238.22
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included.
FOIA Confidential Treatment Requested
MS-USAO-0017748
CLIENT STATEMENT I For the Period August 1 -31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 5 0 f g
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date _ Pate _ Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
8/6
8/6
8/6
8/6
Funds Transferred
WIRED FUNDS SENT
BENE: LAW OFFICES OF IGOR DODI
ACCT: XXXX9670
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
$(135,500.00)
(15,000.00)
8/11
8/11
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326.48)
8/13
8/13
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
( 20 , 000 . 00 )
8/14
8/14
Funds Received
WIRED FUNDS RECEIVED
IGOR DODIN ATTNY ESCROW
IGORDODIN
135,500.00
8/18
8/18
i/18
8/18
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
83,333.33
8/19
8/19
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(16,474.56)
8/20
8/20
Funds Received
WIRED FUNDS RECEIVED
BSI S A.
IBERICO INVEST + FINANCE INC.
1,200,000.00
8/25
8/25
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
( 20 , 000 . 00 )
8/28
8/28
8/28
8/28
Interest Income
MORGAN STANLEY BANK N.A
(Period 07/31-08/28) _
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 07/31-08/28)
NET CREDITS/(DEBITS)
12 28
2.61
$1,293,880.51
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
ill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of Date
Payment Paid _ Activity Type _ Payee _ Credits/(Debits)
8/11
8/11
Automated Payment
BANK OF THE WEST 1C PAYMENT
$(1,326.48)
8/19
8/19
Automated Payment
AMEX EPayment ACH PMT
(16,474.56)
TOTAL AUTOMATED PAYMENTS $(17,801.04)
FOIA Confidential Treatment Requested
MS-USAO-0017749
CLIENT STATEMENT I For the Period August 1 -31, 2014
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date Activity Type Description
8/7 Automatic Redemption BANK DEPOSIT PROGRAM
8/11 Automatic Redemption BANK DEPOSIT PROGRAM
8/14 Automatic Redemption BANK DEPOSIT PROGRAM
8/15 Automatic Investment BANK DEPOSIT PROGRAM
8/19 Automatic Investment BANK DEPOSIT PROGRAM
8/21 Automatic Investment BANK DEPOSIT PROGRAM
8/28 Automatic Redemption BANK DEPOSIT PROGRAM ~
8/28 Automatic Investment BANK DEPOSIT PROGRAM
8/28 Automatic Investment BANK DEPOSIT PROGRAM
NET ACTIVITY FOR PERIOD
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
FOIA Confidential Treatment Requested
Credits/(Debits)
$(150,500.00)
(1,326.48)
( 20 , 000 . 00 )
135,500.00
150,192.10
1 , 200 , 000.00
( 20 , 000 . 00 )
12 28
_ 2.61
$1,293,880.51
MS-USAO-OO17750
Morgan Stanley
CLIENT STATEMENT I For the Period August 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 7 of 8
9 0 9 0 9 0 9 0 * 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 * 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 * 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 * 0 9 0 9 0 9 1* 0 9 0 9 0 9 1* 0 9 0 9 0 9 0 * 0 9 0 9 0 9 1* 0 9 0 9 0 9 1* 0 9 0 9 0 9 0 * 0 9 0 9 0 9 0 * 0 0 0 9 0 9 0 * 0 9 0 9 0 9 0 * 0 9 0 9 f 0 * 0 9 0 9 0 9 f 0 9 0 9 0 9 9* W* 9* 9* 9* W* 9* 9* 9* 9* ** 0* 9* ** 9* 9* 9* 9* 9* 9* 9* 9* 1* 9* •* 9* 9* »* 9* 9* ** 0* 9* 9* 1* f* W* W* 1* f* 9* W* 9* f* 9* W* 9* W* W* 9* 9* W* 9* 9* 9* 9* 9* W* 1* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9*9*9* 9* 9* 9* 9^ 9* 9*9*9* 9* 9* 9* 9* 9* 9* 9* 9 * t* 9* 9* 9 * 9* 9* 9* 9* 9* 9* 9* 9 * 9* 9* 9* 9 * t* 9* 9* 9 ^ 9* 9* 9* 9 ^ 9* 9* 9* 9 * 9* 9* 9* 9* 9* 9* 9* 9^ 9* 9* 9* 9^ 9* 9^ 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9^ 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9* 9^ 9* 9* 9* 9^ 9* 9* 9* 9^ 9* 9* 9* 9^ 9* 9* 9* 9* 9* 9* 9* 9^ 9* 9* 9* 9^ 9* 9* 9* 9^ 9* 9* 9* 9^ 9* 9* 9* 9^ 9* 9* 9* 9^ 9*
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The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Products may not perform in a manner consistent with the
statement product category in which they appear and therefore may not
satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark--a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Consulting Group Investment
Advisory Statuses
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings and CG IAR Status Definitions
on your most recent June or December statement (or your first
statement if you have not received a statement for those months), go to
www morganstanley .com/online or refer to the research provider's
research report. Research reports contain more complete information
concerning the analyst’s views and you should read the entire research
report and not infer its contents from the rating alone. If your account
contains an advisory component or is an advisory account, CG IAR
statuses apply.
Credit Ratings from Moody's Investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 08/2014
FOIA Confidential Treatment Requested
MS-USAO-0017751
PRIVATE WEALTH MANAGEMENT
Page 8 of 8
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FOIA Confidential Treatment Requested
MS-USAO-O017752
CLIENT STATEMENT I For the Period September 1 -30, 2014
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STATEMENT FOR:
ROSEMONT SENECA BOHAI, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
ROSEMONT SENECA BOHAI, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 9/30/14) $17,206,369.21
Includes Accrued interest
Your Private Wealth Advisor Team
SCHATZ/MOYE/MARKEY/FINNEG
212-296-6000
Your Branch
522 FIFTH AVENUE
NEW YORK, NY 10036
Telephone: 212-296-6000; Alt. Phone: 800-419-2861 ; Fax: 212-296-6320
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Int’l Collect)
Access Your Account Online: www.morganstanley.com/PWM
876-018483-380- 1 -0
MS-USAO-OO17753
CLIENT STATEMENT I For the Period September 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 2 of 10
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(9/1 /14-9/30/14) (1 /I /14-9/30/14)
TOTAL BEGINNING VALUE
$2,176,238.22
—
Credits
Debits
Security Transfers
15,166,666.66
(136,632.78)
19,931,407.40
(2,725,215.57)
Net Credits/Debits/Transfers
$15,030,033.88
$17,206,191.83
Change in Value
97.11
177.38
TOTAL ENDING VALUE
$17,206,369.21
$17,206,369.21
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Cash, BDP, MMFs*
Cash, BDP, MMFs (Debit)
TOTAL VALUE
Market Value
$17,218,869.21
(12,500.00)
$17,206,369.21
Percentage %
100.1
_-0J_
100 . 0 %
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-OO17754
CLIENT STATEMENT I For the Period September 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 3 0 f *30
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 8/31/14)
This Period
(as of 9/30/14)
CASH FLOW
This Period
(9/1/14-9/30/14)
This Year
(1/1/14 9/30/14)
Cash, BDP, MMFs
$2,176,238.22
$17,218,869.21
OPENING CASH, BDP, MMFs
$2,176,238.22
—
Total Assets
$2,176,238.22
$17,218,869.21
Income
97.11
177.38
Cash, BDP, MMFs (Debit)
(12,500.00)
Total Investment Related Activity
$97.11
$177.38
Total Liabilities (outstanding balance)
—
$(12,500.00)
Electronic Transfers-Credits
15,166,666.66
19,931,407.40
TOTAL VALUE
$2,176,238.22
$17,206,369.21
Electronic Transfers-Debits
Other Debits
(67,500.00)
(25.00)
(2,467,050.36)
(25.00)
Total Cash Related Activity
$15,099,141.66
$17,464,332.04
Debit Card
Checks Written
Automated Payments
(32.45)
(15,945.50)
(53,129.83)
(32.45)
(59,444.50)
(198,663.26)
Total Card/Check Activity
$(69,107.78)
$(258,140.21)
CLOSING CASH, BDP, MMFs
$17,206,369.21
$17,206,369.21
INCOME AND DISTRIBUTION SUMMARY
This Period
(9/1/14-9/30/14)
This Year
(1/1/14-9/30/14)
GAIN/(LOSS) SUMMARY
Realized This Period
Realized This Year
Unrealized
Inception to Date
(as of 9/30/14)
Interest
$97.11
$177.38
(9/1/14-9/30/14)
(1/1/14 9/30/14)
Total Taxable income And Distributions
$97.11
$177.38
TOTAL GAINZ(LOSS) —
--
■-
Total Tax-Exempt Income
—
—
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
r m jtk v 1 / an ^ 4 * j-x i * r\ or m it w *t S an l*it ^ ii 1 /// itn#^ \ 1 on f" ircrt tit it £ a ir/i am
TOTAL INCOME AND DISTRIBUTIONS
$97.11
$177.38
fjuifJvsES anu snuuiu nut ue usvu tut itiA fjiefjaiauun.
rxtvtx lu uain/[LU3S/ ui ui& nAfjanu&u uisiriusui&s.
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
FOIA Confidential Treatment Requested
MS-USAO-OO17755
CLIENT STATEMENT I For the Period September 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 4 0 f *30
Investment Objectives* : Capital Appreciation, Aggressive income
t Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
HOLDINGS
Brokerage Account
This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value" and "Unrealized Gain/(Loss)” are
representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market. Fixed income securities are sorted by maturity or pre-refunding date,
and alphabetically within date. Estimated Annual Income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxes, if any. EAI for certain securities may
include return of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, EAI is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. When displayed, accrued interest, annual income and yield for structured products with a contingent income feature (such as Range
Accrual Notes or Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the
accrued interest, annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. Treasury regulations require that we report on Form
1099-8, after the close of the tax year, your adjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These
regulations also require that we make basis adjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost
basis is reflected on statements for informational purposes and should not be used in the preparation of your income tax returns. Refer to the Expanded Disclosures for additional information.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market fund
balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
CASH
$(12,500.00)
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
16,973,864.58
245,004.63
8,487.00
123.00
0.050
0.050
BANK DEPOSITS
$17,218,869.21
Percei
$8,610.00
CASH, BDP, AND MMFs
ntaqe
of Assets.%
TooIo%
••••• ••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••
mMMrn-
$17,206,369.21
Estimated
AnmtaiJiKamc
Accmedjnterest
iCeiooo
$0.00
TOTAL CASH, BDP, MMFS
TOTAL CASH, BDP, MMFS (DEBIT)
$17,218,869 21
$(12,500 00)
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
FOIA Confidential Treatment Requested
MS-USAO-0017756
CLIENT STATEMENT I For the Period September 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH MANAGEMENT p aqe 5 0 f *sq
Percentaae
of Assets
TOTAL MARKET VALUE
100.0%
Tota^ost
$000
Market Value
$ 17 , 206,369 21
Unrealized
Gain/I
Estimated
Annual Income
Accrued interest
$ 8 , 610.00
$ 0.00
Yjejd%
0 . 05 %
TOTAL VALUE (includes accrued interest) $17,206,369.21
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash , MMF, Deposits and positions stating Please Provide' are not included.
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
9/2
9/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 22624169
TO 876-018475
$(20,000.00)
9/4
9/4
Automated Payment
WU:Caliber WUCaliber
AUTOMATIC BILL PAYMENT
(11,510.25)
9/4
9/4
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
(20,000.00)
ACCT: XXXXX5452
9/5
9/8
Check
FINE FARE EXPRESS INC
Check# 1031
(3,500.00)
9/5
9/8
Check
DIMITRIY DOROGAN
Check# 1033
(1,600.00)
9/5
9/12
Check
CLINT LARUE
Check# 1032
(845.50)
9/9
9/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326.48)
9/9
9/10
Debit Card
GCL079R
Restaurants GCL GB
(31.81)
9/9
9/10
Debit Card
FOREIGN TRANSACTION FEE
Restaurants
(0.64)
9/12
9/12
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(15,000.00)
9/16
9/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
9/16
9/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
9/16
9/22
Check
NEIL CALLAHAN
Check# 1034
(10,000.00)
9/18
9/18
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(32,293.10)
9/23
9/23
Check Deposit
FUNDS RECEIVED
900,000.00
9/25
9/25
Funds Received
WIRE FUNDS RCVD AS OF 09-24-14
CITIBANK FLORIDA FSB
CLIFFORD A WOLFF, P A.
15,000,000.00
9/29
9/29
Check Deposit-Adjustment
FUNDS RECEIVED
RETURNED BY BANK
(900,000.00)
AS OF 09-23-14
9/29
9/29
Service Fee
RETURNED CHECK FEE
(25.00)
9/30
9/30
Interest Income
MORGAN STANLEY BANK N.A.
(Period 08/29-09/30)
92.48
9/30
9/30
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 08/29-09/30)
4.63
FOIA Confidential Treatment Requested
MS-USAO-0017757
CLIENT STATEMENT I For the Period September 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe g 0 f *sq
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date Pate Activity Type
Description
Comments
Quantity
Price
Credits/(Debit$)
9/30
9/30
9/30
9/30
9/30
9/30
Automated Payment
iANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
Automated Payment
Online Transfer
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
FUNDS TRANSFERRED
NET CREDITS/(DEBITS)
CONFIRMATION # 24951651
TO 876-018475
(5,000.00)
(3,000.00)
(12,500.00)
i»VmViViViViViVi»ViV»V»V»V»V#ViV»ViViV»V#V»ViViV»ViV#V»V»V»V»V#V#ViViV»V»V»V^
$ 15 , 030 , 130.99
DEBIT CARD & CHECKING ACTIVITY
DEBIT CARD
DEVON ARCHER Card Ending in 9447
Date of
Activity
9/9
9/9
Date
Paid
Description
9/10
9/10
GCL079R
FOREIGN TRANSACTION FEE
Location/Phone
Expense Category
GCL
GB
Restaurants
Restaurants
Credits/CDebits)
$(31.81)
(0.64)
TOTAL DEBIT CARD - DEVON ARCHER
THIS PERIOD
$( 32 . 45 )
TOTAL DEBIT CARD
$( 32 . 45 )
CHECKS WRITTEN
Date
Written
Date
Paid
Check Number
Activity Type
TOTAL CHECKS WRITTEN
Payee
Expense Category
Credits/(Debits)
9/5
9/8
1031
Check
FINE FARE EXPRESS INC
$(3,500.00)
9/5
9/12
1032
Check
CLINT LARUE
(845.50)
9/5
9/8
1033
Check
DIMITRIY DOROGAN
(1,600.00)
9/16
9/22
1034
Check
NEIL CALLAHAN
(10,000.00)
$( 15 , 945 . 50 )
AUTOMATED PAYMENTS
Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Date
Paid
Activity Type
Payee
Credits/(Debits)
9/4
9/4
Automated Payment
WU:Caliber WUCaliber
$(11,510.25)
9/9
9/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
9/18
9/18
Automated Payment
AMEX EPayment ACH PMT
(32,293.10)
9/30
9/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(5,000.00)
FOIA Confidential Treatment Requested
MS-USAO-0017758
Morgan Stanley
CLIENT STATEMENT I For the Period September 1 -30, 2014 PRIVATE WEALTH MANAGEMENT Page 7 of 10
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS (CONTINUED)
Date of Date
Payment Paid _ Activity Type _ Payee _
9/30 9/30 Automated Payment _ BANK OF AMERICA ONLINE PMT
TOTAL AUTOMATED PAYMENTS
$(53,129.83)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Description _
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
NET ACTIVITY FOR PERIOD $15,042,630.99
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
Consolidated Statement of Financial Condition (In Millions of Dollars)
At June 30, 2014 Morgan Stanley Smith Barney LLC had net. capital of $4,511 which exceeded the Securities and Exchange Commission's minimum requirement by $4,336. A copy of the Morgan Stanley Smith
Barney LLC Consolidated Statement of Financial Condition at June 30, 2014 can be viewed online at: http://www.morganstanley.com/about/ir/shareholder/morganstanley_smithbarney_llc.pdf or may be mailed to you
at no cost by calling 1 (866) 825-1675, after September 15, 2014.
Credits/(Debits)
$(20,000.00)
(31,510.25)
(5,100.00)
(1,326.48)
(32.45)
(15,845.50)
166,666.66
(32,293.10)
( 10 , 000 . 00 )
900,000.00
15,000,000.00
(900,000.00)
92 48
4.63
(8,025.00)
Date Activity Type __
9/2 Automatic Redemption
9/4 Automatic Redemption
9/8 Automatic Redemption
9/9 Automatic Redemption
9/10 Automatic Redemption
9/12 Automatic Redemption
9/16 Automatic Investment
9/18 Automatic Redemption
9/22 Automatic Redemption
9/24 Automatic Investment
9/26 Automatic Investment
9/29 Automatic Redemption
9/30 Automatic Investment
9/30 Automatic Investment
9/30 Automatic Redemption
FOIA Confidential Treatment Requested
MS-USAO-OO17759
CLIENT STATEMENT
For the Period September 1 -30, 2014
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 8 of 10
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CLIENT STATEMENT I For the Period September 1 -30, 201 4
Morgan Stanley
PRIVATE WEALTH MAN AGE IV! ENT p aqe g 0 f *30
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morga nstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Products may not perform in a manner consistent with the
statement product category in which they appear and therefore may not
satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark--a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Consulting Group Investment
Advisory Statuses
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings and CG IAR Status Definitions
on your most recent June or December statement (or your first
statement if you have not received a statement for those months), go to
www morganstanley .com/online or refer to the research provider's
research report. Research reports contain more complete information
concerning the analyst’s views and you should read the entire research
report and not infer its contents from the rating alone. If your account
contains an advisory component or is an advisory account, CG IAR
statuses apply.
Credit Ratings from Moody’s Investors Service and Standard & Poor’s
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 08/2014
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PRIVATE WEALTH MANAGEMENT
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CLIENT STATEMENT I For the Period October 1 -31, 2014
STATEMENT FOR:
ROSEMONT SENECA BOHAI, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
ROSEMONT SENECA BOHA I, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
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Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 10/31/14) $2,241,632.85
Includes Accrued interest
Your Private Wealth Advisor Team
SCHATZ/MOYE/MARKEY/FINNEG
212-296-6000
Your Branch
522 FIFTH AVENUE
NEW YORK, NY 10036
Telephone: 212-296-6000; Alt. Phone: 800-419-2861 ; Fax: 212-296-6320
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Int’l Collect)
Access Your Account Online: www.morganstanley.com/PWM
876-018483-380- 1 -0
MS-USAO-0017763
CLIENT STATEMENT I For the Period October 1-31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 2 of 10
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(10/1 /14-10/31/14) (1 /I /14-10/31/14)
TOTAL BEGINNING VALUE
$17,206,369.21
—
Credits
Debits
Security Transfers
198,123.93
(15,285,837.80)
20,129,531.33
(18,011,053.37)
Net Credits/Debits/Transfers
$(15,087,713.87)
$2,118,477.96
Change in Value
122,977.51
123,154.89
TOTAL ENDING VALUE
$2,241,632.85
$2,241,632.85
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Cash, BDP, MMFs !
Municipal Bonds A
TOTAL VALUE A
Market Value Percentage %
$2,118,724.53 94.5
_ 122,908.32 _5.5_
$2,241,632.85 100.0%
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures. A Includes Estimated Accrued interest
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CLIENT STATEMENT I For the Period October 1-31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 3 0 f *30
BALANCE SHEET ( A includes accrued interest)
Cash, BDP, MMFs
Municipal Bonds A
Total Assets
Last Period
(as of 9/30/14)
$17,218,869.21
$17,218,869.21
Cash, BDP, MMFs (Debit)
Total Liabilities (outstanding balance)
(12,500.00)
$(12,500.00)
TOTAL VALUE
$17,206,369.21
This Period
(as of 10/31/14)
$2,118,724.53
122,908.32
$2,241,632.85
$2,241,632.85
INCOME AND DISTRIBUTION SUMMARY
This Period
(10/1/14-10/31/14)
This Year
(1/1/14-10/31/14)
Interest
$69.19
$246.57
Total Taxable Income And Distributions
$69.19
$246.57
Total Tax-Exempt Income — —
TOTAL INCOME AND DISTRIBUTIONS
$69.19
$246.57
CASH FLOW
This Period
(10/1/14-10/31/14)
This Year
(1/1/14-10/31/14)
OPENING CASH, BDP, MMFs
$17,206,369.21
—
Income
69.19
246.57
Total Investment Related Activity
$69.19
$246.57
Electronic Transfers-Credits
Electronic Transfers-Debits
Other Debits
198,123.93
(15,214,500.00)
20,129,531.33
(17,681,550.36)
(25.00)
Total Cash Related Activity
$(15,016,376.07)
$2,447,955.97
Debit Card
Checks Written
Automated Payments
(6,850.00)
(64,487.80)
(32.45)
(66,294.50)
(263,151.06)
Total Card/Check Activity
$(71,337.80)
$(329,478.01)
CLOSING CASH, BDP, MMFs
$2,118,724.53
$2,118,724.53
GAIN/(L0SS) SUMMARY
Realized This Period
(10/1/14 10/31/14)
Realized This Year
(1/1/14-10/31/14)
Unrealized
Inception to Date
(as of 10/31/14)
TOTAL GAIN/(LOSS) — — —
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to GainZ(Loss) in the Expanded Disclosures.
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
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CLIENT STATEMENT I For the Period October 1-31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 4 0 f *30
Investment Objectives*: Capital Appreciation, Aggressive income
t Inform us If your investment objectives, as defined in the Expanded Disclosures, change.
Brokerage Account
HOLDINGS
This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value" and "Unrealized Gain/(Loss)” are
representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market. Fixed Income securities are sorted by maturity or pre-refunding date,
and alphabetically within date. Estimated Annual Income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxes, if any. EAI for certain securities may
include return of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, EAI is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. When displayed, accrued interest, annual income and yield for structured products with a contingent income feature (such as Range
Accrual Notes or Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the
accrued interest, annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. Treasury regulations require that we report on Form
1099-8, after the close of the tax year, your adjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These
regulations also require that we make basis adjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost
basis is reflected on statements for informational purposes and should not be used in the preparation of your income tax returns. Refer to the Expanded Disclosures for additional information.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market fund
balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
Value
Estimated Annual Income
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
$1,873,719.16
245,005.37
$375.00
49.00
0.020
0.020
CASH, BDP, AND MMFs
Percentage
of Assets %
*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•
94J5%
$2,118,724.53
Estimated
Annual income
Accrued Interest
.viv.v.v.v.v.v.v.v.v.v.v.v.v.v.v.v.v.v.v.v
$424.00
$0.00
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
MUNICIPAL BONDS
Security Description
Trade Date
Face Value Acp. Unit Cost
WAKPAMNI LAKE SD CMNTY CORP SPL — 15,000,000.000
LIMITED REVENUE
CUSIP 931130AC2
Acp. Total Cost
Please Provide
Please Provide
Market Value
N/A
Unrealized
Gain/(Loss)
Estimated
Annual Income
Accrued Interest
Yield %
N/A
$122,908.32
Unit Price: N/A; Coupon Rate 6.020%; Matures 10/01/2021; Interest Paid Annually Oct 01; First Coupon 10/01/15; Subject to Federal Tax; Issued 09/12/14; In Safekeeping ; 15,000,000.000
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CLIENT STATEMENT I For the Period October 1-31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 5 0 f
MUNICIPAL BONDS
Percentage
of Assets %
15,000^000^000
• ••••••a*
Ad]. Total Cost
************ *
$ 0.00
$ 0.00
Market Value
$ 0.00
Unrealized
Gain/(Loss)
$0.00 ST
Estimated
Annua! Income
Accrued interest
$0.00
$122,908.32
Y ie l d %
TOTAL MUNICIPAL BONDS (incl.accr.int.)
5.5%
$122,908.32
Percenta
of Assets
TOTAL MARKET VALUE
100.0%
Tota^ost
$ 0.00
MarkeU/alue
$2,118,724.53
Unrealized
Gain/I
$0.00 ST
Estimated
Annual Income
Accrued interest
$424.00
$122,908.32
Yjejd%
0 . 02 %
TOTAL VALUE (includes accrued interest) $2,241,632.85
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash , MMF, Deposits and positions stating 'Please Provide'are not included.
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/fDebits)
2/10
10/6
Check
DIMITRIY DOROGAN
Check # 1004
$(850.00)
10/1
10/6
Check
GG REALTY INC
Check # 1003
( 6 , 000 . 00 )
10/1
10/1
Funds Transferred
WIRED FUNDS SENT
BENE: WAKPAMNI TOWN CENTER 211
ACCT: XXXXXXXX7365
(15,000,000.00)
10/7
10/7
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
28,913.89
10/7
10/7
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
2,543.38
10/7
10/7
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
( 20 , 000 . 00 )
10/9
10/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326.48)
10/10
10/10
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
( 20 , 000 . 00 )
10/15
10/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
10/15
10/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
10/15
10/15
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 26521708
TO 876-019755
(18,000.00)
10/17
10/17
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 26750982
(5,000.00)
TO 876-019755
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CLIENT STATEMENT I For the Period October 1-31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe g 0 f *sq
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date
Date
Activity Type
Description
Comments Quantity
Price
Credits/CDebits)
10/20
10/20
Funds Transferred
WIRED FUNDS SENT
BENE: MATTHEW AND KERRY SHIMAI
ACCT: XXXXX8124
(50,000.00)
10/20
10/20
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 26866655
TO 876-019755
(1,500.00)
10/22
10/22
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(60,161.32)
10/22
10/22
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(10,000.00)
10/24
10/24
Transfer into Account
WAKPAMNI LAKE BE 6020 210C01
15,000,000.000
000
10/24
10/24
Funds Transferred
WIRED FUNDS SENT
BENE: AMERICAN OFFROAD LLC
ACCT: XXXXXXXX2080
(10,000.00)
10/27
10/27
Funds Transferred
WIRED FUNDS SENT
BENE: ROSEMONT CAPITAL LLC
ACCT: XXX9349
(50,000.00)
10/27
10/27
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(20,000.00)
10/28
10/28
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 27562915
TO 876-019755
(10,000.00)
10/30
10/30
Automated Payment
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
10/31
10/31
Interest Income
MORGAN STANLEY BANK N.A.
(Period 10/01 10/31)
63.82
10/31
10/31
1 nterest Income
MORGAN STANLEY PRIVATE BANK NA
5.37
*2*2*2*2*2®2*2*2^2*2*2V2*"*2^%^*2*2*2*"*2*2*2*2*2*2»2*2*2^%®2«5*2V2*2*2*2*2*5*2»55*2®2*R*2^*P5FBF2*"»2*2*2^
(Period 10/01 10/31)
99999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999999*99f*
NET CREDITS/(DEBITS) $(15,087,644.68)
DEBIT CARD & CHECKING ACTIVITY
CHECKS WRITTEN
Date
Written
Date
Paid
Check Number
Activity Type
Payee
Expense Category
Credits/(Debits)
10/1
10/6
1003
Check
GG REALTY INC
$(6,000.00)
2/10
10/6
1004
Check
DIMiTRIY DOROGAN
TOTAL CHECKS WRITTEN $(6,850.00)
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CLIENT STATEMENT I For the Period October 1-31, 2014
Morgan Stanley
PRIVATE WEALTH MANAGEMENT Paae 7 of 10
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
J
ill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of Date
Payment Paid _ Activity Type _ Payee _ Credifcs/(Debits)
10/9
10/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
$(1,326.48)
10/22
10/22
Automated Payment
AMEX EPayment ACH PMT
(60,161.32)
10/30
10/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
TOTAL AUTOMATED PAYMENTS $(64,487.80)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Pate Activity Type _
10/1 Automatic Redemption
10/2 Automatic Redemption
10/6 Automatic Redemption
10/7 Automatic Investment
10/8 Automatic Redemption
10/9 Automatic Redemption
10/14 Automatic Redemption
10/15 Automatic I nvestment
10/17 Automatic Redemption
10/20 Automatic Redemption
10/21 Automatic Redemption
10/22 Automatic Redemption
10/23 Automatic Redemption
10/27 Automatic Redemption
10/28 Automatic Redemption
10/29 Automatic Redemption
10/30 Automatic Redemption
10/31 Automatic I nvestment
10/31 Automatic I nvestment
Credits/(Debits)
$(12,500.00)
(15,000,000.00)
(6,850.00)
31,457.27
( 20 , 000 . 00 )
(1,326.48)
( 20 , 000 . 00 )
148,666.66
(5,000.00)
(1,500.00)
(50,000.00)
(60,161.32)
( 10 , 000 . 00 )
( 10 , 000 . 00 )
(70,000.00)
( 10 , 000 . 00 )
(3,000.00)
63 82
5.37
Description
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
SANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
NET ACTIVITY FOR PERIOD
$(15,100,144.68)
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CLIENT STATEMENT I For the Period October 1-31, 2014
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 8 of 10
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS FLUNG AND COMPANY, LLP
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CLIENT STATEMENT I For the Period October 1-31, 2014
Morgan Stanley
PRIVATE WEALTH MAN AGE IV! ENT p aqe 9 0 f *30
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Products may not perform in a manner consistent with the
statement product category in which they appear and therefore may not
satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark--a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Consulting Group Investment
Advisory Statuses
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings and CG IAR Status Definitions
on your most recent June or December statement (or your first
statement if you have not received a statement for those months), go to
www morganstanley .com/online or refer to the research provider's
research report. Research reports contain more complete information
concerning the analyst’s views and you should read the entire research
report and not infer its contents from the rating alone. If your account
contains an advisory component or is an advisory account, CG IAR
statuses apply.
Credit Ratings from Moody's Investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 08/2014
FOIA Confidential Treatment Requested
MS-USAO-O017771
PRIVATE WEALTH MANAGEMENT
Page 10 of 10
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MS-USAO-0017772
CLIENT STATEMENT I For the Period November 1-30, 2014
STATEMENT FOR:
ROSEMONT SENECA BOHAI, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
ROSEMONT SENECA BOHAI, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 11/30/14) $1 9,005,807.99
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Int’l Collect)
Access Your Account Online: www.morganstanley.com/PWM
654 -028319-041 -1-0
MS-USAO-0017773
CLIENT STATEMENT I For the Period November 1-30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 2 of 10
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(11/1/14-11 /30/14) (1 /I /14-11 /30/14)
TOTAL BEGINNING VALUE
$2,241,632.85
—
Credits
Debits
Security Transfers
2,764,078.98
(2,877,070.44)
22,893,610.31
(20,888,123.81)
Net Credits/Debits/Transfers
$(112,991.46)
$2,005,486.50
Change in Value
16,877,166.60
17,000,321.49
TOTAL ENDING VALUE
$19,005,807.99
$19,005,807.99
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
v.%v.v.v.v.v.v.v.\v.v.v.v.v.v.v.v.v.v.\\v.v.v
Municipal Bonds
.Cash, BDP, MMFs
.ETFs & CEFs
Cash, BDP, MMFs
ETFs & CEFs
Municipal Bonds A
TOTAL VALUE A
Market Value
$981,041.97
1,041,266.00
16,983,500.02
$19,005,807.99
Percentage %
5.2
5.5
100 . 0 %
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures. A Includes Estimated Accrued Interest.
FOIA Confidential Treatment Requested
MS-USAO-0017774
CLIENT STATEMENT I For the Period November 1-30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 3 0 f *30
BALANCE SHEET ( A includes accrued interest)
Last Period
This Period
(as of 10/31/14)
(as of 11 /30/14)
Cash, BDP, MMFs
$2,118,724.53
$981,041.97
ETFs & CEFs
1,041,266.00
Municipal Bonds A
122,908.32
16,983,500.02
Total Assets
$2,241,632.85
$19,005,807.99
Total Liabilities (outstanding balance) — —
TOTAL VALUE
$2,241,632.85
$19,005,807.99
INCOME AND DISTRIBUTION SUMMARY
This Period
This Year
(11/1/14 11 /30/14) (1/1 /14-11 /30/14)
Interest
$70.15
$316.72
Total Taxable Income And Distributions
$70.15
$316.72
Total Tax-Exempt Income — —
TOTAL INCOME AND DISTRIBUTIONS
$70.15
$316.72
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
CASH FLOW
This Period
(11/1/14-11/30/14)
This Year
(1/1/14-11/30/14)
OPENING CASH, BDP, MMFs
$2,118,724.53
■-
Purchases
(1,024,761.25)
(1,024,761.25)
Income
70.15
316.72
Total Investment Related Activity
$(1,024,691.10)
$(1,024,444.53)
Electronic Transfers-Credits
767,179.66
20,896,710.99
Electronic Transfers-Debits
(724,227.61)
(18,405,777.97)
Other Credits
1,996,899.32
1,996,899.32
Other Debits
(1,996,899.32)
(1,996,924.32)
Total Cash Related Activity
$42,952.05
$2,490,908.02
Debit Card
—
(32.45)
Checks Written
(33,030.32)
(99,324.82)
Automated Payments
(122,913.19)
(386,064.25)
Total Card/Check Activity
$(155,943.51)
$(485,421.52)
CLOSING CASH, BDP, MMFs
$981,041.97
$981,041.97
GAINZ(LOSS) SUMMARY
Realized This Period
(11/1/14-11/30/14)
Realized This Year
(1/1/14-11/30/14)
Unrealized
Inception to Date
(as of 11/30/14)
Short-Term Gain — — $16,504.75
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/fLoss) in the Expanded Disclosures.
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
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MS-USAO-0017775
CLIENT STATEMENT I For the Period November 1-30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 4 0 f *30
Investment Objectives*: Capital Appreciation, Aggressive income
t Inform us If your investment objectives, as defined in the Expanded Disclosures, change.
Brokerage Account
HOLDINGS
This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value" and "Unrealized Gain/(Loss)” are
representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market. Fixed Income securities are sorted by maturity or pre-refunding date,
and alphabetically within date. Estimated Annual Income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxes, if any. EAI for certain securities may
include return of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, EAI is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. When displayed, accrued interest, annual income and yield for structured products with a contingent income feature (such as Range
Accrual Notes or Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the
accrued interest, annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. Treasury regulations require that we report on Form
1099-8, after the close of the tax year, your adjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These
regulations also require that we make basis adjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost
basis is reflected on statements for informational purposes and should not be used in the preparation of your income tax returns. Refer to the Expanded Disclosures for additional information.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market fund
balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
Value
Estimated Annual Income
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
$736,032.50
245,009.47
$368.00
123.00
0.050
0.050
CASH, BDP, AND MMFs
Percentage
of Assets %
IS
laiii
$981,041.97
Estimated
Annual income
Accrued Interest
Iv.v.v.v.v.v.v.v.v.v.v.v.v.v.v.vJv.v.v.v.v.v
$491.00
$0.00
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
EXCHANGE-TRADED & CLOSED-END FUNDS
Security Description Trade Date
Quantity
Unit Cost
Total Cost
Market Value
Unrealized
GainZ(Loss)
Estimated
Annual Income
Dividend
Yield %
CONS DISCRET SEL SECT SPDR FD (XLY) 11 /19/14
Share Price: $71,810: Next Dividend Payable 12/2014
4,850.000
$70,241
$340,667.19
$348,278.50
$7,611.31 ST
$4,414.00
1.26
HEALTH CARE SEL SECT SPDR FD (XLV) 11 /19/14
Share Price: $69,610; Next Dividend Payable 12/2014
4,950.000
69.000
341,550.17
344,569.50
3,019.33 ST
4,391.00
1.27
FOIA Confidential Treatment Requested
MS-USAO-0017776
CLIENT STATEMENT I For the Period November 1-30, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 5 0 f
EXCHANGE-TRADED & CLOSED-END FUNDS (CONTINUED)
Security Description
Trade Date
Quantity
Unit Cost
Total Cost
Market Value
Unrealized
Gain/(Loss)
Estimated
Annual Income
Dividend
Yield %
THE TECHNOLOGY SEL SEC SPDR FD (XLK)
11/19/14
8 ,200.000
41.774
342,543.89
348,418.00
5,874.11 ST
5,560.00
1.59
Share Price: $42,490; Next Dividend Payable 12/2014
Percentage
of Assets %
Total Cost
Market Value
Unrealized
Gain/(Loss)
Estimated
Accrued Interest
Yield %
EXCHANGE-TRADED & CLOSED-END FUNDS s.5% $1,024,761.25 $1,041,266.00 $16,504.75 ST $14,365.00 1.38%
$ 0.00
MUNICIPAL BONDS
Security Description
Trade Date
Cost
Face Value Adj. Unit Cost
Aqj. Total Cost
Market Value
Unrealized
Gain/(Loss)
Estimated
Annual Income
Accrued Interest
Yield %
15,000,000.000
Please Provide
Please Provide
$16,787,850.00
N/A
$903,000.00
$195,650.02
5.37
WAKPAMN! LAKE SD CMNTY CORP SPL —
LIMITED REVENUE
CUSIP 931130AC2
Unit Price: $111,919; Coupon Rate 6.020%; Matures 10/01/2021; Interest Paid Annually Oct 01; Yield to Maturity 4.008%; First Coupon 10/01/15; Subject to Federal Tax; Issued 09/12/14; In Safekeeping:
15,000,000.000
MUNICIPAL BONDS
Face Value
Percentage
of Assets %
15,000,000.000
iiiiiiiiiiiiiiiiiiiiiii
Adj-TotalCost
$ 0.00
MarkeLVaiue
$16,787,850.00
Unrealized
Gain/(Lgss)
$0.00 ST
Estimated
AnfluaLiOfifitme
Accrued Interest
$903,000.00
$195,650.02
mASk
5.38%
TOTAL MUNICIPAL BONDS (incl.accr.int.)
89.4%
$16,983,500.02
TOTAL MARKET VALUE
Percentaae
of Assets
100 . 0 %
T o ta^ Csst
$1,024,761.25
MarkeU/alue
$18,810,157.97
Unrealized
Gain/I
$16,504.75 ST
Estimated
Accrued : interest
$917,856.00
$195,650.02
Yleld%
4.83%
TOTAL VALUE (includes accrued interest) $19,005,807.99
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included.
FOIA Confidential Treatment Requested
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CLIENT STATEMENT I For the Period November 1-30, 2014
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
10/22
11/4
Date
11/17
11/6
11/5
11/4
Activity T
Check
Check - Adjustment
Check
Funds Transferred
Description
THE WOLFF LAW FIRM
AU PAIR IN AMERICA
AU PAIR IN AMERICA
WIRED FUNDS SENT
11/6 11/6 Check _ AU PAIR IN AMERICA ENB1106
11/10 11/10 Funds Received WIRED FUNDS RECEIVED
11/10 11/10 Funds Transferred WIRED FUNDS SENT
11/10 11/10 Funds Transferred WIRED FUNDS SENT
11/10 11/10 Funds Transferred WIRED FUNDS SENT
11/12 11/12 Automated Payment BANK OF THE WEST 1C PAYMENT
11/12 11/18 Check _ SMART TUITION _
11/12 11/12 Funds Transferred WIRED FUNDS SENT
11/12 11/12 Funds Transferred WIRED FUNDS SENT
11/12 11/12 Funds Transferred WIRED FUNDS SENT
11/13
11/18
11/13
11/17
11/17
11/18
Automated Payment
Other Credits _
Other Debits
Funds Received
WU:Caliber WUCaliber
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
WIRED FUNDS RECEIVED
11/18
11/18 Funds Received
WIRED FUNDS RECEIVED
11/19
11/19
11/19
11/19
11/19
11/21
11/19
11/20
11/24
11/24
11/24
11/21
Automated Payment
Check _
Bought
Bought _
Bought
Funds Transferred
AMEX EPayment ACH PMT _
NEIL CALLAHAN
THE TECHNOLOGY SEL SEC SPDR FD
HEALTH CARE SEL SECT SPDR FD
CONS DiSCRET SEL SECT SPDR FD
WIRED FUNDS SENT
11/25
11/25 Funds Transferred
WIRED FUNDS SENT
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT p aqe 0 0 f *sq
Comments
Check # 1005
Quanti
Price
Check # 1007
BENE: HEARTLAND BUSINESS CREDI
ACCT: XXXXX9395
Check # 1007
JPMORGAN CHASE BANK
THORSDALE FIDUCIARY AND GUARAN
BENE: ANDREW GODFREY
ACCT: XXXXXXXX6365
BENE: ROBERT BIDEN
ACCT: XXXXX5452
BENE: ELEVATIONS URBAN LANDSCA
ACCT: XXXXX0260
AUTOMATIC BILL PAYMENT _
Check # 1008
BENE: CRONE KLINE RINDE LLP
ACCT: XXXXXX5785
BENE: BGW CONSULTING CORP
ACCT: XXXXXXXX2981
BENE: BGW CONSULTING CORP INC
ACCT: XXXXXXXX2981
AUTOMATIC BILL PAYMENT
1,996,899.320
1,996,899 320
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
AUTOMATIC BILL PAYMENT
Check # 1009
ACTED AS AGENT
ACTED AS AGENT _
ACTED AS AGENT
BENE: DEVON ARCHER
ACCT: XXXXXXXX6898
BENE: ROBERT BIDEN
ACCT: XXXXX5452
8,200.000
4,950.000
4,850.000
41.3657
68.3262
69.5547
Credits/CDebits
$(3,779.38)
_ 78 30
(78.30
(7,914.61)
(7,830.00)
600,513.00
(50,000.00)
( 20 , 000 . 00 )
(1,300.00)
(1,326.48)
(6,420.94)
(600,513.00)
(10,500.00)
( 8 , 000 . 00 )
(14,954.12)
1,996,899.32
(1,996,899.32)
83,333.33
83,333.33
(106,632.59)
(15,000.00)
(342,543.89)
(341,550.17)
(340,667.19)
( 1 , 000 . 00 )
(25,000.00)
MS-USAO-0017778
CLIENT STATEMENT I For the Period November 1-30, 2014
Morgan Stanley
PRIVATE WEALTH MANAGEMENT p aqe 7 0 f *30
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price Credits/CDebits)
11/28
11/28
1 nterest Income
MORGAN STANLEY BANK N.A.
(Period 11/01-11/30)
60,68
11/28
11/28
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 11/01-11/30)
9.47
NET CREDITS/(DEBITS)
$(1,137,682.56)
Purchase and Sale transactions above may have received an average price execution. Details regarding the actual prices are available upon request.
DEBIT CARD & CHECKING ACTIVITY
CHECKS WRITTEN
Date
Written
Date
Paid
Check Number
Activity Type
Payee
Expense Category
Credits/(Debits)
10/22
11/17
1005
Check
THE WOLFF LAW FIRM
$(3,779.38)
11/3
11/5
1007
Check
AU PAIR IN AMERICA
(78.30)
11/3
11/6
1007
Check - Adjustment
AU PAIR IN AMERICA
78.30
11/6
11/6
1007
Check
AU PAIR IN AMERICA ENB1106
(7,830.00)
11/12
11/18
1008
Check
SMART TUITION
(6,420.94)
11/19
11/20
1009
Check
NEIL CALLAHAN
(15,000.00)
TOTAL CHECKS WRITTEN $(33,030.32)
AUTOMATED PAYMENTS
Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Payment
Date
Paid
Activity Type
Payee
Credits/(Debils)
11/12
11/12
Automated Payment
BANK OF THE WEST 1C PAYMENT
$(1,326.48)
11/13
11/13
Automated Payment
WU:Caliber WUCaliber
(14,954.12)
11/19
11/19
Automated Payment
AMEX EPayment ACH PMT
(106,632.59)
TOTAL AUTOMATED PAYMENTS $(122,913.19)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Credits/(Debits)
$(7,992.91)
(7,751.70)
Pate Activity Type
Description
11/5 Automatic Redemption
iANK DEPOSIT PROGRAM
11/7 Automatic Redemption
ANK DEPOSIT PROGRAM
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CLIENT STATEMENT I For the Period November 1-30, 2014
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 8 of 10
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY (CONTINUED)
Date Activity Type
Description
Credits/(Debits)
11/10 Automatic Redemption
»ANK DEPOSIT PROGRAM
( 20 , 000 . 00 )
11/12 Automatic Investment
IANK DEPOSIT PROGRAM
547,886.52
11/13 Automatic Redemption
BANK DEPOSIT PROGRAM
(633,967.12)
11/17 Automatic I nvestment
BANK DEPOSIT PROGRAM
1,996,899.32
11/17
11/17
Automatic Redemption
BANK DEPOSIT PROGRAM
(1,996,899.32)
Automatic Redemption
BANK DEPOSIT PROGRAM
(3,779.38)
11/18 Automatic I nvestment
iANK DEPOSIT PROGRAM
160,245.72
11/19 Automatic Redemption
iANK DEPOSIT PROGRAM
(106,632.59)
11/20 Automatic Redemption
BANK DEPOSIT PROGRAM
(15,000.00)
11/24 Automatic Redemption
iANK DEPOSIT PROGRAM
(1,025,761.25)
11/26 Automatic Redemption
IANK DEPOSIT PROGRAM
(25,000.00)
11/28 Automatic Investment
BANK DEPOSIT PROGRAM
60,68
11/28 Automatic Investment
BANK DEPOSIT PROGRAM
9.47
NET ACTIVITY FOR PERIOD
$( 1 , 137 , 682 . 56 )
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
FOIA Confidential Treatment Requested
MS-USAO-0017780
CLIENT STATEMENT I For the Period November 1-30, 2014
Morgan Stanley
PRIVATE WEALTH MAN AGE IV! ENT p aqe 9 0 f *30
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Products may not perform in a manner consistent with the
statement product category in which they appear and therefore may not
satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark--a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Consulting Group Investment
Advisory Statuses
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings and CG IAR Status Definitions
on your most recent June or December statement (or your first
statement if you have not received a statement for those months), go to
www morganstanley .com/online or refer to the research provider's
research report. Research reports contain more complete information
concerning the analyst’s views and you should read the entire research
report and not infer its contents from the rating alone. If your account
contains an advisory component or is an advisory account, CG IAR
statuses apply.
Credit Ratings from Moody's Investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 08/2014
FOIA Confidential Treatment Requested
MS-USAO-0017781
PRIVATE WEALTH MANAGEMENT
Page 10 of 10
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FOIA Confidential Treatment Requested
MS-USAO-0017782
CLIENT STATEMENT For the Period December 1 -31, 2014
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STATEMENT FOR:
ROSEMONT SENECA BOHAI, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
ROSEMONT SENECA BOHA I, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 12/31/14) $1 8,436,429.01
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Int’l Collect)
Access Your Account Online: www.morganstanley.com/PWM
654 -028319-041 -1-0
MS-USAO-0017783
Morgan Stanley
CLIENT STATEMENT I For the Period December 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 2 of 20
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(12/1 /14-12/31/14) (1 /I /14-12/31/14)
TOTAL BEGINNING VALUE
$19,005,807.99
—
Credits
Debits
Security Transfers
290,393 99
(815,301.78)
23,184,004.30
(21,703,425.59)
Net Credits/Debits/Transfers
$(524,907.79)
$1,480,578.71
Change in Value
(44,470.59)
16,955,850.90
TOTAL ENDING VALUE
$18,436,429.61
$18,436,429.61
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
v.v.v.v.v.v.v.v.v.v.v.v.v.v.v.v.v.wv.v.v.v.v
v.v«v.%v«v*v.v.v.v.v.v*v.v.v«v*v.v.v.v.\v«\v.v.v.v.v.v.\v.v
l A%Vi%\V4V*V«ViViViViViViViVAViVAV/A , tVi , 4 , iV/*'iVi , iViVi , i%
Municipal Bonds
.Cash, BDP, MMFs
JETFs & CEFs
Market Value
Percentage %
Cash, BDP, MMFs*
$460,642.76
2.5
ETFs& CEFs
1,027,478.50
5.6
Municipal Bonds A
16,948,308.35
91.9
TOTAL VALUE A
$18,436,429.61
100.0%
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures. A Includes Estimated Accrued Interest.
FOIA Confidential Treatment Requested
MS-USAO-0017784
CLIENT STATEMENT For the Period December 1 -31, 2014
INCOME AND DISTRIBUTION SUMMARY
This Period This Year
_ (12/1 /14-12/31/14) (1/1/14-12/31/14)
Other Dividends $4,482.61 $4,482.61
Interest _ 25.97 _ 342.69
Total Taxable Income And Distributions $4,508.58 $4,825.30
Total Tax-Exempt Income
TOTAL INCOME AND DISTRIBUTIONS
$4,508.58 $4,825.30
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
PERSONAL RETIREMENT EDUCATION
ACCOUNTS ACCOUNTS ACCOUNTS
TRUST
ACCOUNTS
FOIA Confidential Treatment Requested
CASH FLOW
OPENING CASH, BDP, MMFs
Purchases
Income
Total Investment Related Activity
Electronic Transfers-Credits
Electronic Transfers-Debits
Other Credits
Other Debits
Total Cash Related Activity
Debit Card
Checks Written
Automated Payments _
Total Card/Check Activity
CLOSING CASH, BDP, MMFs
This Period
(12/1/14-12/31/14)
$981,041.97
4,508.58
$4,508.58
290,393.99
(677,170.00)
$(386,776.01)
(81,500.00)
(56,631.78)
$(138,131.78)
$460,642.76
This Year
(1/1/14-12/31/14)
(1,024,761.25)
4,825.30
$(1,019,935.95)
21,187,104.98
(19,082,947.97)
1,996,899.32
(1,996,924.32)
$2,104,132.01
(32.45)
(180,824.82)
(442,696.03)
$(623,553.30)
$460,642.76
GAIN/(LOSS) SUMMARY
Unrealized
Realized This Period Realized This Year Inception to Date
_ (12/1 /14-12/31 /14) (1/1/14-12/31 /14) _ (as of 12/31/14)
Short-Term Gain — — $9,260.31
Short-Term (Loss) —- — (6,543,06)
Total Short-Term
$2,717.25
The Gain/(Loss) Summary , which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
MS-USAO-0017785
CLIENT STATEMENT For the Period December 1 -31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT Paoe 4 of 20
Investment Objectives*: Capital Appreciation, Aggressive income
t Inform us If your investment objectives, as defined in the Expanded Disclosures, change.
Brokerage Account
HOLDINGS
This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value" and "Unrealized Gain/(Loss)” are
representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market. Fixed Income securities are sorted by maturity or pre-refunding date,
and alphabetically within date. Estimated Annual Income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxes, if any. EAI for certain securities may
include return of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, EAI is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. When displayed, accrued interest, annual income and yield for structured products with a contingent income feature (such as Range
Accrual Notes or Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the
accrued interest, annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. Treasury regulations require that we report on Form
1099-8, after the close of the tax year, your adjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These
regulations also require that we make basis adjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost
basis is reflected on statements for informational purposes and should not be used in the preparation of your income tax returns. Refer to the Expanded Disclosures for additional information.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market fund
balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
Value
Estimated Annual Income
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
$245,016.84
215,625.92
$123.00
108.00
0.050
0.050
CASH, BDP, AND MMFs
Percentage
of Assets %
2*5%
HAUil
$460,642.76
Estimated
Annual.lracQmfi
Accrued Interest
$231.00
$0.00
IMIlllllflllllllMI
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
EXCHANGE-TRADED & CLOSED-END FUNDS
Security Description Trade Date
Quantity
Unit Cost
Total Cost
Market Value
Unrealized
Gain/(Loss)
Estimated
Annual Income
Dividend
Yield %
CONS DISCRET SEL SECT SPDR FD (XLY) 11 /19/14
Share Price: $72.150: Next Dividend Payable 03/2015
4,850.000
$70,241
$340,667.19
$349,927.50
$9,260.31 ST
$4,569.00
1.30
HEALTH CARE SEL SECT SPDR FD (XLV) 11 /19/14
Share Price: $68,380; Next Dividend Payable 03/2015
4,950.000
69.000
341,550.17
338,481.00
(3,069.17) ST
4,559.00
1.34
FOIA Confidential Treatment Requested
MS-USAO-0017786
CLIENT STATEMENT For the Period December 1 -31, 2014
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT Paae 5 ©f 20
EXCHANGE-TRADED & CLOSED-END FUNDS (CONTINUED)
Security Description
Trade Date
Quantity
Unit Cost
Total Cost
Market Value
Unrealized
Gain/(Loss)
Estimated
Annual Income
Dividend
Yield %
THE TECHNOLOGY SEL SEC SPDR FD (XLK)
11/19/14
8 ,200.000
41.774
342,543.89
339,070.00
(3,473.89) ST
5,937.00
1.75
Share Price: $41,350; Next Dividend Payable 03/2015
Percentage
of Assets %
Total Cost
Market Value
Unrealized
Gain/(Loss)
Estimated
Accrued Interest
Yield %
EXCHANGE-TRADED & CLOSED-END FUNDS s.6% $1,024,761.25 $1,027,478.50 $2,717.25 ST $15,065.00 1.47%
$ 0.00
MUNICIPAL BONDS
Security Description
Trade Date
Cost
Face Value Adj. Unit Cost
Aqj. Total Cost
Market Value
Unrealized
Gain/ (Loss)
Estimated
Annual Income
Accrued Interest
Yield %
15,000,000.000
Please Provide
Please Provide
$16,674,900.00
N/A
$903,000.00
$273,408.35
5.41
WAKPAMM LAKE SD CMNTY CORP SPL —
LIMITED REVENUE
CUSIP 931130AC2
Unit Price: $111,166; Coupon Rate 6.020%; Matures 10/01/2021; Interest Paid Annually Oct 01; Yield to Maturity 4.108%; First Coupon 10/01/15; Subject to Federal Tax; Issued 09/12/14; In Safekeeping:
15,000 f 000.000
MUNICIPAL BONDS
Face Value
Percentage
of Assets %
15,000,000.000
iiiiiiiiiiiiiiiiiiiiiii
Adj-TotalCost
$ 0.00
MarkeLVaiue
$16,674,900.00
Unrealized
Gain/(Lpss)
$0.00 ST
Estimated
Accri/ed/nterest
“lioCoooW
$273,408.35
5.42%
TOTAL MUNICIPAL BONDS (incl.accr.int.)
91.9%
$16,948,308.35
TOTAL MARKET VALUE
Percentaae
of Assets
100 . 0 %
T o ta^ Csst
$1,024,761.25
MarketValije
$18,163,021.26
Unrealized
Gain/I
$2,717.25 ST
Estimated
Accrued : interest
$918,296.00
$273,408.35
Yjeld%
4.98%
TOTAL VALUE (includes accrued interest) $18,436,429.61
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included.
FOIA Confidential Treatment Requested
MS-USAO-0017787
CLIENT STATEMENT For the Period December 1 -31, 2014
Morgan Stanley
PRIVATE WEALTH MANAGEMENT Paae 6 of 20
000000000000000000000000
9000000000000000000000000
* _ ' 1 _ w 1 ^ ^ ^ - A r ^ ^ .
9*999*999*999*999*909*99
9999999999999999999999999
09900*009*90990099909900
9990099009900904099009940
0000000000900000000000000000000
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ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date Date Activity Type
Description
Comments Quantity
Price
00900090009000900000009000000000000000000000
Credits/(Debits)
12/1
12/1
Automated Payment
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
$(3,000.00)
12/3
12/4
Check
DIMITRIY D0R0GAN
Check #1010
(1,500.00)
12/3
12/3
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 30734564
TO 654-028322
(5,000.00)
12/9
12/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326.48)
12/9
12/9
Funds Transferred
WIRED FUNDS SENT
BENE: BOHAI HARVEST RST SHANGH
ACCT: XXXXXXXX7727
(484,920.00)
12/10
12/10
Funds Transferred
WIRED FUNDS SENT
BENE: RSTP CAPITAL
ACCT: XXXXXX2742
( 100 , 000 . 00 )
12/15
12/15
Funds Transferred
WIRED FUNDS SENT
BENE: KRISTA AMMIRATI ARCHER D
ACCT: XXXXX6403
( 10 , 000 . 00 )
12/17
12/17
Funds Received
WIRED FUNDS RECEIVED
SUNTRUST BANK ATLANTA
LOCOMOTIVE FUND PROJECTS LLC
62,500.00
12/18
12/18
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 31249812
FROM 654-028320
166,666.66
12/19
12/19
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(15,000.00)
12/19
12/19
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 31306448
TO 654-028322
(15,000.00)
12/19
12/19
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 31306419
TO 654-028318
( 10 , 000 . 00 )
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(49,305.30)
Check
NEW YORK STATE INCOME TAX
Check# 1037
(80,000.00)
12/22
12/22
Online Transfer
TRANSFER AS OF 12/20
CONFIRMATION # 31312573
TO 654-028322
(15,000.00)
12/22
12/22
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 31346625
TO 654-028322
(4,000.00)
Dividend
THE TECHNOLOGY SEL SEC SPDR FD
1,775.22
■r i! l
Dividend
CONS DISCRET SEL SECT SPDR FD
1,421.73
12/30
12/30
Dividend
HEALTH CARE SEL SECT SPDR FD
1,285.66
12/30
12/30
Funds Received
WIRED FUNDS RECEIVED
BANK OF CHINA
BOHAI HARVEST RST (SHANGHAI) E
46,315.26
12/30
12/30
Funds Received
WIRED FUNDS RECEIVED
BANK OF CHINA
BOHAI HARVEST RST (SHANGHAI) E
14,912.07
12/30
12/30
Automated Payment
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
(3,000.00)
12/30
12/30
Funds Transferred
WIRED FUNDS SENT
BENE: NAVY SEAL FOUNDATION, IN
ACCT: XXXXXX7226
(12,500.00)
12/30
12/30
Funds Transferred
WIRED FUNDS SENT
BENE: MCG AUTOMOTIVE, LLC
ACCT: XXXXXX0802
(5,750.00)
FOIA Confidential Treatment Requested
MS-USAO-0017788
CLIENT STATEMENT For the Period December 1 -31, 2014
Morgan Stanley
PRIVATE WEALTH IV AN AGE IV! ENT Rape 7 of 20
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date Pate Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
12/31
12/31
Interest Income
MORGAN STANLEY BANK N.A
(Period 12/01-12/31)
16.84
12/31
12/31
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 12/01 12/31)
9 13
•• *• «•*••• «• •• •*«••• v •• ■* *• •%%Va # tV«v« # * , *v« , *% i wVt # i%v«v*VtVAV«vdv«%v«%%v«v«v*VtViV« # «vw l « # t # « # »v«vw , AVAVi , y > «Va # e
•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*• *•*•*•*• *•*•*•*#*• *•*•*•*•*#%*• *•*•*•*•*•*•*•*•*• *•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*•*• '•*•%*#'•*#*•*•*#*•*•*•*•*#*•*•*•*•*•*•*•*•*•*•*#*•*•*•*•*#*•*•*•*#*•*•*•*#*•*•*•*•*#*•*#*•*•*•*•*•*•*•*•*•*•*•*•*•*#*•*•*#*•*•*•*•*•*•*• *»*i*«*«^^
NET CREDITS/(DEBITS)
$(520,399.21)
DEBIT CARD & CHECKING ACTIVITY
CHECKS WRITTEN
Date
Written
Date
Paid
Check Number
Activity Type
Payee
Expense Category
Credits/(Debits)
12/3
12/4
1010
Check
DIMITRIY DOROGAN
$(1,500.00)
12/22
12/29
1037
Check
NEW YORK STATE INCOME TAX
(80,000.00)
TOTAL CHECKS WRITTEN
$(81,500.00)
AUTOMATED PAYMENTS
1/7/ pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Date
Paid
Activity Type
Credits/(Debits)
12/1
12/1
Automated Payment
BANK OF AMERICA ONLINE PMT
$(3,000.00)
12/9
12/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
12/22
12/22
Automated Payment
AMEX EPayment ACH PMT
(49,305.30)
12/30
12/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
TOTAL AUTOMATED PAYMENTS
$(56,631.78)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date Activity Type
Description
12/1 Automatic Redemption
iANK DEPOSIT PROGRAM
12/4 Automatic Redemption
BANK DEPOSIT PROGRAM
12/9 Automatic Redemption
SANK DEPOSIT PROGRAM
12/10 Automatic Redemption
iANK DEPOSIT PROGRAM
12/11 Automatic Redemption
iANK DEPOSIT PROGRAM
12/16 Automatic Redemption
iANK DEPOSIT PROGRAM
Credits/(Debits)
$(3,000.00)
(6,500.00)
(1,326.48)
(484,920.00)
( 100 , 000 . 00 )
( 10 , 000 . 00 )
FOIA Confidential Treatment Requested
MS-USAO-0017789
CLIENT STATEMENT
For the Period December 1 -31, 2014
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 8 of 20
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY (CONTINUED)
Date Activity T
12/18 Automatic Investment
12/19 Automatic Investment
12/22
12/23
12/29
12/30
Automatic Redemption
Automatic Redemption
Automatic Redemption
Automatic Investment
12/31 Automatic Investment
12/31 Automatic Investment
12/31 Automatic Redemption
NET ACTIVITY FOR PERIOD
Description
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
Credits/(Debifs)
62,500.00
151,666.66
(89,305.30)
(4,000.00)
(80,000.00)
58,227.33
1684
9 13
(13,767.39)
$(520,399.21)
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
FINRA BrokerCheck
FINRA has established the public disclosure program, known as BrokerCheck, to provide certain information regarding the disciplinary history of FINRA members and their associated persons. The BrokerCheck Hotline
Number is 1-800-289-9999. The FINRA web site address is www.finra.org. An investor brochure that includes information describing FINRA BrokerCheck may be obtained from FINRA.
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FOIA Confidential Treatment Requested
MS-USAO-0017790
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT Pao@ 9 of 20
The "Recap of Cash Management Activity" replaces the former "Annual Review." As part of our ongoing effort to provide clear and concise information, you will note the removal of
selected sections where information is:
• More complete or current on IRS Form(s) 1099 in the Consolidated Tax Package (e g.. Sales & Redemptions on 1099-B, and Income on 1Q99-DIV and 1099-INT), or
• Already incorporated within the Holdings section (e.g., Purchases and Dividend Reinvestments).
For your convenience, this Recap is also available as a separately retrievable document on Morgan Stanley Online under Statements within the Account Documents tab.
We recommend that you wait for your IRS Form(s) 1099, which will be mailed no later than February 15, 2015, before completing your tax returns. This Recap is not a substitute for
the official account statements that you have received from us throughout the year; and is for informational purposes only, to provide you with a recap of your cash management activity. If
there are any discrepancies between your monthly statement(s) and the information in this Recap, you should rely on the account statement(s) you have previously received.
CASH RELATED ACTIVITY
CHECKS DEPOSITED
Transaction Settlement
Date
Date
Activity Type
Description
Comments
lnflows/(OutfBows)
9/23
9/23
Check Deposit
FUNDS RECEIVED
$900,000.00
9/29
9/29
Check Deposit-Adjustment
FUNDS RECEIVED
RETURNED BY BANK
AS OF 09-23-14
(900,000.00)
TOTAL CHECKS DEPOSITED $0.00
ELECTRONIC TRANSFERS (CREDITS)
Transaction Settlement
Date _ Pate _ Activity Type
Description
Comments
inf lows/(Qutf Sows)
3/20
3/20
Cash Transfer - Credit
FUNDS TRANSFERRED
CONFIRMATION # 18025922
FROM 876-018484
$450.00
3/25
3/25
Cash Transfer - Credit
FUNDS TRANSFERRED
CONFIRMATION # 18120704
FROM 876-018484
2,246,111.00
3/25
3/25
Cash Transfer - Credit
FUNDS TRANSFERRED
CONFIRMATION # 18112092
FROM 876-018484
200 , 000.00
4/15
4/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
4/15
4/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
29,424.82
4/22
4/22
Funds Received
WIRED FUNDS RECEIVED
ABLV BANK AS RIGA LATVIA
NOVATUS HOLDING PTE LTD
142,300.00
5/15
5/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
FOIA Confidential Treatment Requested
MS-USAO-0017791
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aa@ <|Q of 20
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (CREDITS) (CONTINUED)
Transaction Settlement
Date Date Activity Type
5/15
5/15
Funds Received
Description
WIRED FUNDS RECEIVED
6/17
6/17
Funds Received
WIRED FUNDS RECEIVED
6/17
6/17
Funds Received
WIRED FUNDS RECEIVED
6/18
6/18
Funds Received
WIRED FUNDS RECEIVED
7/15
7/15
Funds Received
WIRED FUNDS RECEIVED
7/15
7/15
Funds Received
WIRED FUNDS RECEIVED
7/23
7/23
8/14
7/23
7/23
8/14
Funds Received
Funds Received
Funds Received
1 ANK OF AMERICA
BANK OF AMERICA
WIRED FUNDS RECEIVED
8/18
8/18
Funds Received
WIRED FUNDS RECEIVED
1/18
8/1
Funds Received
WIRED FUNDS RECEIVED
8/20
8/20
Funds Received
WIRED FUNDS RECEIVED
9/16
9/16
Funds Received
WIRED FUNDS RECEIVED
9/16
9/16
Funds Received
WiRED FUNDS RECEIVED
9/25
9/25
Funds Received
WIRE FUNDS RCVD AS OF 09-24-14
10/7
10/7
Funds Received
WIRED FUNDS RECEIVED
10/7
10/7
Funds Received
WIRED FUNDS RECEIVED
10/15
10/15
Funds Received
WIRED FUNDS RECEIVED
10/15
10/15
Funds Received
WiRED FUNDS RECEIVED
11/10
11/10
Funds Received
WIRED FUNDS RECEIVED
Comments
lnflows/(Outflows)
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
60,954.54
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
ACCT CNFRM
0.27
ACCT CNFRM
0 14
IGOR DODIN ATTNY ESCROW
IGOR DODIN
135,500.00
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
BSI S.A.
IBERICO INVEST
FINANCE INC.
1 , 200 , 000.00
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
CITIBANK FLORIDA FSB
CLIFFORD A WOLFF, P A
15,000,000.00
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
28,913.89
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
2,543.38
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
JPMORGAN CHASE BANK
THORSDALE FIDUCIARY AND GUARAN
600,513.00
FOIA Confidential Treatment Requested
MS-USAO-0017792
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT Paciell of 20
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (CREDITS) (CONTINUED)
Transaction Settlement
Date Date Activity Type
Description
Comments
lnflows/(Outflows)
11/1
11/18
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
11/18
11/18
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
12/17
12/17
Funds Received
WIRED FUNDS RECEIVED
SUNTRUST BANK ATLANTA
LOCOMOTIVE FUND PROJECTS LLC
62,500.00
12/1
12/18
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 31249812
FROM 654-028320
166,666.66
12/30
12/30
Funds Received
WIRED FUNDS RECEIVED
BANK OF CHINA
BOHAI HARVEST RST (SHANGHAI) E
46,315.26
12/30
12/30
Funds Received
WIRED FUNDS RECEIVED
ANKOF CHINA
iQHAI HARVEST RST (SHANGHAI) E
14,912.07
TOTAL ELECTRONIC TRANSFERS (CREDITS)
ELECTRONIC TRANSFERS (DEBITS)
T ransaction Settlement
Date
Date
Description
Comments
$21,187,104.98
Enflows/(Qutfiows)
4/9
4/9
Funds Transferred
WIRED FUNDS SENT
BENE: BEVERLY HILLS ESCROW TRU
ACCT: XXXX3627
$(1,200,000.00)
4/14
4/14
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 18689065
TO 876-018475
(150,000.00)
4/23
4/23
Funds Transferred
WIRED FUNDS SENT
BENE: SCHNEIDER NELSON MOTOR C
ACCT: XXXXXXXX6760
(142,300.00)
5/5
5/5
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 19292378
TO 876-018475
(50,000.00)
5/13
5/13
Funds Transferred
WIRED FUNDS SENT
BENE: AMERICAN WELL CORPORATIO
ACCT: XXXXXXXX1545
(50,040.00)
5/20
5/20
Funds Transferred
WIRED FUNDS SENT
BENE: DEVON ARCHER
ACCT: XXXXX2636
(99,000.00)
5/22
5/22
Funds Transferred
WIRED FUNDS SENT
BENE: DEVON ARCHER
ACCT: XXXX3683
(200,000.00)
6/2
6/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 19961898
TO 876-018475
(6,000.00)
6/5
6/5
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(15,000.00)
6/9
6/9
Funds Transferred
WIRED FUNDS SENT
BENE: MECUM AUCTION INC
ACCT: XXXXX3448
(105,000.00)
FOIA Confidential Treatment Requested
MS-USAO-0017793
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aa@ <|2 of 20
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (DEBITS) (CONTINUED)
Transaction Settlement
Date Date Activity Type
Description
Comments
Inflows/COutflows)
6/13
6/13
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
( 10 , 000 . 00 )
6/23
6/23
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(25,000.00)
7/10
7/10
Funds Transferred
WIRED FUNDS SENT
BENE: ROSEMONT SELECT OPPORTUN
ACCT: XXXXXX7736
(83,500.00)
7/11
7/11
Funds Transferred
WIRED FUNDS SENT
BENE: THOMAS M KNOLES IV
ACCT: XXXXXX2821
( 6 , 000 . 00 )
7/11
7/11
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(5,000.00)
7/11
7/11
Funds Transferred
WIRED FUNDS SENT
BENE: DEANNE ADAMSON
ACCT: XXXXXX2356
(4,500.00)
7/14
7/14
Funds Transferred
WIRED FUNDS SENT
BENE: KEVIN J PETERSON INC
ACCT: XXXXXX1992
(17,710.36)
7/18
7/18
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
( 20 , 000 . 00 )
7/29
7/29
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
( 20 , 000 . 00 )
8/6
8/6
Funds Transferred
WIRED FUNDS SENT
BENE: LAW OFFICES OF IGOR DODI
ACCT: XXXX9670
(135,500.00)
8/6
8/6
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(15,000.00)
8/13
8/13
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
( 20 , 000 . 00 )
8/25
8/25
Funds Transferred
WiRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
( 20 , 000 . 00 )
9/2
9/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 22624169
TO 876-018475
( 20 , 000 . 00 )
9/4
9/4
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
( 20 , 000 . 00 )
9/12
9/12
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(15,000.00)
9/30
9/30
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 24951651
TO 876-018475
(12,500.00)
10/1
10/1
Funds Transferred
WiRED FUNDS SENT
BENE: WAKPAMNI TOWN CENTER 211
ACCT: XXXXXXXX7365
(15,000,000.00)
10/7
10/7
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
( 20 , 000 . 00 )
FOIA Confidential Treatment Requested
MS-USAO-0017794
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p a£se 13 0 f 20
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (DEBITS) (CONTINUED)
Transaction Settlement
Date Date Activity Type
Description
Comments
Inflows/COutflows)
10/10
10/10
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
( 20 , 000 . 00 )
10/15
10/15
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 26521708
TO 876-019755
(18,000.00)
10/17
10/17
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 26750982
TO 876-019755
(5,000.00)
10/20
10/20
Funds Transferred
WIRED FUNDS SENT
BENE: MATTHEW AND KERRY SHIMAI
ACCT: XXXXX8124
(50,000.00)
10/20
10/20
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 26866655
TO 876-019755
(1,500.00)
10/22
10/22
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
( 10 , 000 . 00 )
10/24
10/24
Funds Transferred
WIRED FUNDS SENT
BENE: AMERICAN OFFROAD LLC
ACCT:XXXXXXXX2080
( 10 , 000 . 00 )
10/27
10/27
Funds Transferred
WIRED FUNDS SENT
BENE: ROSEMONT CAPITAL LLC
ACCT: XXX9349
(50,000.00)
10/27
10/27
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
( 20 , 000 . 00 )
10/28
10/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 27562915
TO 876-019755
( 10 , 000 . 00 )
11/4
11/4
Funds Transferred
WIRED FUNDS SENT
BENE: HEARTLAND BUSINESS CRED
ACCT: XXXXX9395
(7,914.61)
11/10
11/10
Funds Transferred
WIRED FUNDS SENT
BENE: ANDREW GODFREY
ACCT: XXXXXXXX6365
(50,000.00)
11/10
11/10
Funds Transferred
WiRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
( 20 , 000 . 00 )
11/10
11/10
Funds Transferred
WIRED FUNDS SENT
BENE: ELEVATIONS URBAN LANDSCA
ACCT: XXXXX0260
(1,300.00)
11/12
11/12
Funds Transferred
WIRED FUNDS SENT
BENE: CRONE KLINE RINDE LLP
ACCT: XXXXXX5785
(600,513.00)
11/12
11/12
Funds Transferred
WIRED FUNDS SENT
BENE: BGW CONSULTING CORP
ACCT:XXXXXXXX2981
(10,500.00)
11/12
11/12
Funds Transferred
WIRED FUNDS SENT
BENE: BGW CONSULTING CORP INC
ACCT: XXXXXXXX2981
( 8 , 000 . 00 )
11/21
11/21
Funds Transferred
WiRED FUNDS SENT
BENE: DEVON ARCHER
ACCT: XXXXXXXX6898
( 1 , 000 . 00 )
11/25
11/25
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(25,000.00)
FOIA Confidential Treatment Requested
MS-USAO-0017795
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH MANAGEMENT p aae 14 s f 20
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (DEBITS) (CONTINUED)
Transaction
Date
Settlement
Date
Activity Type
Description
Comments
lnfiows/(Outflows)
12/3
12/3
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 30734564
TO 654-028322
(5,000.00)
12/9
12/9
Funds Transferred
WIRED FUNDS SENT
BENE: BOHAI HARVEST RST SHANGH
ACCT: XXXXXXXX7727
(484,920.00)
12/10
12/10
Funds Transferred
WIRED FUNDS SENT
BENE: RSTP CAPITAL
ACCT: XXXXXX2742
(100,000.00)
12/15
12/15
Funds Transferred
WIRED FUNDS SENT
BENE: KRISTA AMMIRATI ARCHER D
ACCT: XXXXX6403
(10,000.00)
12/19
12/19
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(15,000.00)
12/19
12/19
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 31306448
TO 654-028322
(15,000.00)
12/19
12/19
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 31306419
TO 654-028318
(10,000.00)
12/22
12/22
Online Transfer
TRANSFER AS OF 12/20
CONFIRMATION # 31312573
TO 654-028322
(15,000.00)
12/22
12/22
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 31346625
TO 654-028322
(4,000.00)
12/30
12/30
Funds Transferred
WIRED FUNDS SENT
BENE: NAVY SEAL FOUNDATION, IN
ACCT: XXXXXX7226
(12,500.00)
12/30
12/30
Funds Transferred
WIRED FUNDS SENT
BENE: MCG AUTOMOTIVE, LLC
ACCT: XXXXXX0802
(5,750.00)
TOTAL ELECTRONIC TRANSFERS (DEBITS)
$(19,082,947.97)
OTHER CREDITS
Transaction
Date
Settlement
Date
Activity Type
Description
Comments
lnfiows/(Outflows)
10/24
10/24
Transfer into Account
WAKPAMNI LAKE BE 6020 210C01
11/17
11/17
Other Cred its
BANK DEPOSIT PROGRAM
1,996,899.32
TOTAL OTHER CREDITS
$1,996,899.32
OTHER DEBITS
Transaction
Date
Settlement
Date
Activity Type
Description
Comments
lnf!ows/(Outflows)
3/14
3/14
Account Charge
AAA ANNUAL SERVICE FEE
$(150.00)
3/20
3/20
Account Fee Adj
AAA FEE REVERSAL
150.00
3/20
3/20
Service Fee
ACH 000000 OVERLMT FEE
(25.00)
3/25
3/25
Service Fee Reversal
REV OVERLMT ACH FEE
25.00
FOIA Confidential Treatment Requested
MS-USAO-0017796
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p a£se <35 0 f 20
CASH RELATED ACTIVITY
OTHER DEBITS (CONTINUED)
Transaction
Date
Settlement
Date
Activity Type
Description
Comments
I nfiows/(Outflows)
9/29
9/29
Service Fee
RETURNED CHECK FEE
(25.00)
11/17
11/17
Other Debits
BANK DEPOSIT PROGRAM
(1,996,899.32)
TOTAL OTHER DEBITS
TOTAL CASH RELATED ACTIVITY
$(1,996,924.32)
$2,104,132.01
DEBIT CARD/CHECK ACTIVITY
DEBIT CARD
RESTAURANTS
Date of Date
Description
Location/Phone
Expense Category
Credits/(Pebits)
9/9
9/10
FOREIGN TRANSACTION FEE
Restaurants
$(0.64)
9/9
9/10
GCL079R
GCL
GB
Restaurants
(31.81)
TOTAL RESTAURANTS
TOTAL DEBIT CARD
$(32.45)
$(32.45)
CHECKS WRITTEN
CHECKS WITH NO CODE
Date
Written
Date
Paid
Check Number
Activity Type
Payee Expense Category
Credits/(Debits)
3/14
3/25
1001
Check
SEBASTIAN MONTAZI
$( 10 , 000 . 00 )
10/1
10/6
1003
Check
GG REALTY INC
( 6 , 000 . 00 )
2/10
10/6
1004
Check
DIMITRIY DOROGAN
(850.00)
10/22
11/17
1005
Check
THE WOLFF LAW FIRM
(3,779.38)
11/3
11/5
1007
Check
AU PAIR IN AMERICA
(78.30)
11/3
11/6
1007
Check - Adjustment
AU PAIR IN AMERICA
78.30
11/6
11/6
1007
Check
AU PAIR IN AMERICA ENB1106
(7,830.00)
11/12
11/18
1008
Check
SMART TUITION
(6,420.94)
11/19
11/20
1009
Check
NEIL CALLAHAN
(15,000.00)
12/3
12/4
1010
Check
DIMITRIY DOROGAN
(1,500.00)
4/19
4/22
1026
Check
HAMPTON WATERCRAFT & MARINE
(30,000.00)
FOIA Confidential Treatment Requested
MS-USAO-0017797
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p a£se -fg 0 f 20
DEBIT CARD/CHECK ACTIVITY
CHECKS WRITTEN (CONTINUED)
CHECKS WITH NO CODE (CONTINUED)
Date
Written
Date
Paid
Check Number
Activity Type
Payee
Expense Category
Credits/(Debits)
6/10
6/16
1028
Check
THE WOLFF LAW FIRM
(3,499.00)
9/5
9/8
1031
Check
FINE FARE EXPRESS INC
(3,500.00)
9/5
9/12
1032
Check
CLINT LARUE
(845.50)
9/5
9/8
1033
Check
DIMITRIY DOROGAN
(1,600.00)
9/16
9/22
1034
Check
NEIL CALLAHAN
(10,000.00)
12/22
12/29
1037
Check
NEW YORK STATE INCOME TAX
(80,000.00)
TOTAL CHECKS WITH NO CODE
$(180,824.82)
TOTAL CHECKS WRITTEN $(180,824.82)
AUTOMATED PAYMENTS
Bill Pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Payment
Date
Paid
Activity Type
Payee
Credits/fDebits)
3/20
3/20
Automated Payment
AMEX EPayment
$(450.00)
4/23
4/23
Automated Payment
AMEX EPayment ACH PMT
(17,731.09)
5/20
5/20
Automated Payment
AMEX EPayment ACH PMT
(11,022.26)
5/21
5/21
Automated Payment
Maritime Sea Ins Insurance
(1,139.00)
6/6
6/6
Automated Payment
BankoftheWest BOWLOAN PAY
(1,335.48)
6/20
6/20
Automated Payment
AMEX EPayment ACH PMT
(39,645.67)
7/8
7/8
Automated Payment
BankoftheWest BOWLOAN PAY
(1,338.48)
7/21
7/21
Automated Payment
AMEX EPayment ACH PMT
(49,481.26)
7/23
7/23
Automated Payment
BANK OF AMERICA ACCT CNFRM
(0.41)
7/24
7/24
Automated Payment
BANK OF AMERICA ONLINE PMT
(5,588.74)
8/11
8/11
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
8/19
8/19
Automated Payment
AMEX EPayment ACH PMT
(16,474.56)
9/4
9/4
Automated Payment
WU:Caliber WUCaliber
(11,510.25)
9/9
9/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
9/18
9/18
Automated Payment
AMEX EPayment ACH PMT
(32,293.10)
9/30
9/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(5,000.00)
9/30
9/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
10/9
10/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
10/22
10/22
Automated Payment
AMEX EPayment ACH PMT
(60,161.32)
FOIA Confidential Treatment Requested
MS-USAO-0017798
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p a£se -37 0 f 20
Active Assets Account
DEBIT CARD/CHECK ACTIVITY
AUTOMATED PAYMENTS (CONTINUED)
Date off
Payment
Date
Paid
Activity Type
Payee
Credits/(Debits)
10/30
10/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
11/12
11/12
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
11/13
11/13
Automated Payment
WU: Caliber WUCaliber
(14,954.12)
11/19
11/19
Automated Payment
AMEX EPayment ACH PMT
(106,632.59)
12/1
12/1
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
12/9
12/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
12/22
12/22
Automated Payment
AMEX EPayment ACH PMT
(49,305.30)
12/30
12/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
TOTAL AUTOMATED PAYMENTS $(442,696.03)
TOTAL DEBIT CARD/CHECK ACTIVITY
$(623,553.30)
FOIA Confidential Treatment Requested
MS-USAO-0017799
Morgan Stanley
CLIENT STATEMENT I For the Period December 1 -31, 2014
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PRIVATE WEALTH MANAGEMENT
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Page 18 of 20
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Expanded Disclosures
Expanded Disclosures, which apply to all statements Morgan Stanley
Smith Barney LLC (we/us) sends to you, are provided with your first
statement and thereafter twice a year.
Questions?
Questions regarding your account may be directed to either your
Financial Advisor or the Branch Manager for the branch office where
you maintain your account, If you require further assistance, call the
Client Service Center at (800) 869-3326 or for account-related
concerns contact our Client Advocate at (866) 227-2256 or via U.S.
mail at P.0, Box 95002, South Jordan, Utah 84095.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re-confirmed in writing to further protect your rights, including rights
under the Securities investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered,
Account Valuation
Account values are computed by adding (1) the market value of all
priced positions and (2) market values provided by pricing services
and/or outside custodians, as applicable for other positions, and by
adding any credit or subtracting any debit to your closing Cash, Money
Market Funds and/or Deposit balance. Cash, Deposits and Money
Market Funds are displayed on a settlement date basis, and other
positions are displayed in your account on a trade date basis. The
values of fixed income positions in summary displays include accrued
interest in the totals. In the "Holdings" section, fixed income market
value and accrued interest are also displayed in separate columns.
Accrued interest is the interest earned but not yet paid on the bond
since its last interest payment. In most cases, it is calculated from the
date of the last coupon payment (or "dated date") through the
closing date of the statement. Foreign Currency Deposits are reflected
in U.S. dollars as of the statement end date. The Annual Percentage
Yield (APY) for deposits represents the applicable rate in effect for your
deposits at the statement ending date. This APY may be different than
the APY that was in effect during the statement period. For current
Bank Deposit or Money Market Fund yields, go to
www, morga nsta n I ey individual. com/Accou ntO ptions/Active Assets/1 n vest
mentFeatures.
Additional Retirement Account Information
Tax-qualified account contributions are subject to IRS eligibility rules
and regulations. The Contributions information in this statement reflects
contributions for a particular account, without reference to any other
account. Check with your tax advisor to verify how much you can
contribute, if the contribution will be tax deductible, and if other special
rules apply (e.g., to conversions/recharacterizations of Traditional to
Roth/Roth to Traditional IRAs). Tax reporting is provided for IRA, VIP
Basic and 403(b) accounts but not for VIP Plus and RPM accounts.
The account value used for your Required Minimum Distribution
calculation, if any, is based on the prior December 31st Account Value,
including accrued interest. Additionally, for IRAs (1) the "Max.
Individual Contributions Allowed (by SSN)" reflects the annual limit on
contributions that you can make to Traditional and Roth IRAs under
the Internal Revenue Code (this limit applies on a per person basis, not
per account; other rules apply to IRAs which are part of employer-
sponsored plans); (2) you cannot make an individual contribution to a
Traditional IRA for the year in which you reach age 70 1/2 or any later
year; and (3) the categorization of any contribution’s deductibility is
based upon information provided by you. The information included in
this statement is not intended to constitute tax, legal or accounting
advice Contact us if any of this information is incorrect.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Gain/(Loss) Information
GainZ(Loss) is provided for informational purposes. It is not a substitute
for Internal Revenue Service (IRS) Form 1099 (on which we report cost
basis for covered securities) or any other IRS tax form, and should not
be used for tax preparation. Unrealized Gain/(Loss) provided on this
statement is an estimate. Contact your own independent legal or tax
advisor to determine the appropriate use of the Gain/(Loss) information
on this statement. For more information, go to
www.morganstanley.com/wealth/disclosures/disclosures.asp, or call
Client Service Center.
Tax Reporting
Under Federal Income Tax law, we are required to report the gross
proceeds of sales transactions (including entering into short sales) to
reportable (i.e, non-retirement) accounts on Form 1099-B by February
15 of the year foliowing the calendar year of the transaction. For the
sale of certain securities acquired on or after January 1, 2011 we are
required to report additional transaction information on Form 1099-B.
The information reported on your Form 1099-B for the calendar year
should be exclusively relied upon for the purpose of filing your tax
return for the year. Under U.S Internal Revenue Service regulations, if
you have not provided us with a certification of either U.S. or foreign
status on an appropriate Form W-9 or W-8, your accounts may be
subject to either 28% back-up withholding or 30% nonresident alien
withholding on payments made to your accounts.
Investment Objectives
The following is an explanation of the investment objective alternatives
applicable to your account(s): Income - for investors seeking regular
income with low to moderate risk to principal; Capital Appreciation - for
investors seeking capital appreciation with moderate to high risk to
principal; Aggressive Income - for investors seeking higher returns either
as growth or as income with greater risk to principal; Speculation - for
investors seeking high profits or quick returns with considerable
possibility of losing most or all of their investment.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Customer(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral. The amount
you may borrow is based on the value of eligible securities in your
margin accounts. If a security has eligible shares the number of shares
pledged as collateral is indicated below the position. If you have a
margin account, as permitted by law, we may use certain securities in
your account for, among other things, settling short sales or lending the
securities for short sales, for which we may receive compensation.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
CONTINUED
FOIA Confidential Treatment Requested
MS-USAO-0017800
Morgan Stanley
CLIENT STATEMENT I For the Period December 1 -31, 2014 PRIVATE WEALTH MANAGEMENT Page 19 of 20
www. morganstan I ey. com/on I ine/M i Rates.
information regarding Special Memorandum Account
if you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Money Market Fund (MMF) Pricing
An investment in a MMF is neither insured nor guaranteed by the
Federal Deposit Insurance Corporation (FDIC) or any other government
agency. Although MMFs seek to preserve the value of your investment
at $1.00 per share, there can be no assurance that will occur and it is
possible to lose money should the fund value per share fall. In some
circumstances MMFs may cease operations when the value of a fund
drops below $1.00 per share. In that event, the fund's holdings would
be liquidated and distributed to the fund's shareholders. This process
could take up to one month or more. During that time, these funds
cases reflect par value, but may be derived from various sources. These
prices may differ from: prices provided to us or our affiliates by outside
pricing services; our affiliates’ own internal bookkeeping valuations;
prices of transactions executed in any secondary market that exists or
may develop; and/or the prices at which issuer repurchases or
redemptions may occur.
Special Considerations Regarding Structured Investments
Structured Investments are complex products and may be subject to
special risks, which may include, but are not limited to: loss of initial
investment; issuer credit risk and price volatility resulting from any
actual or anticipated changes to issuer's and/or guarantor's credit
ratings or credit spreads; limited or no appreciation and limits on
participation in any appreciation of underlying asset(s); risks associated
with the underlying reference asset(s); no periodic payments; call prior
to maturity; early redemption fees for market linked deposits; lower
interest rates and/or yield compared to conventional debt with
comparable maturity; unique tax implications; limited or no secondary
market; and conflicts of interest due to affiliation, compensation or
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SI PC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Certain Assets Mot Held at Morgan Stanley Smith Barney LLC
You may purchase certain assets through us that may be held at
another financial institution. Assets not held with us may not be
covered by SIPC protection. We may include information about certain
of these assets on this statement solely as a service to you and are not
responsible for any information provided by external sources. Generally,
any financial institution that holds securities is responsible for year-end
reporting (1099s) and separate periodic statements, which may vary
from our information due to different tax reporting periods. In the case
of networked mutual funds, we perform all year-end tax reporting.
Under certain circumstances, such as IRA accounts, we perform all tax
reporting.
Total Income
would not be available to you to support purchases, withdrawals, and if
applicable, check writing or ATM debits from your account.
Motice Regarding Investment Advisor Research
Morgan Stanley's Consulting Group Investment Advisor Research
conducts research on various mutual funds and exchange-traded funds
for clients holding those funds in certain investment advisory programs.
If you have invested in any of these funds in another type of account,
such as a brokerage account, you will not receive the same research
materials and status updates on the funds as we provide to investment
advisory clients (including instructions on selling fund shares).
Pricing of Securities
The prices of securities are derived from various sources, and do not
necessarily represent the prices at which those securities could have
been bought or sold. Although we attempt to use reliable sources of
information, we can offer no assurance as to their accuracy. Prices of
securities not actively traded may not be available, and are indicated
by N/A (not available). For additional information on how we price
securities, go to
www.morganstanley.com/wealth/disclosures/disclosures.asp.
Important Information About Auction Rate Securities
For certain Auction Rate Securities there is no or limited liquidity.
Therefore, the price(s) for any Auction Rate Securities shown may not
reflect the price(s) you would receive upon a sale at auction or in a
secondary market transaction, and is not an indication of any offer to
other factors which could adversely affect market value or payout to
investors. Investors also should consider the concentration risk of
owning the related security and their total exposure to any underlying
asset. Structured Investments may not perform in a manner consistent
with the statement product category where they appear and therefore
may not satisfy portfolio asset allocation needs for that category.
Accrued interest, estimated annual income and estimated yield for
Structured Investments with a contingent income feature, including
Range Accrual Notes and Contingent Income Notes, assume optimal
performance of the underlying asset(s) and payment in full of all
contingent interest. However, contingent interest is only paid if the
specified accrual conditions are met during the relevant observation
period. Actual accrued interest, annual income and yield will be
dependent upon the performance of the underlying asset(s) and may be
significantly lower than the estimates shown. For more information
about the risks specific to your Structured Investments, you should
contact your Financial Advisor.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SIPC Protection
Total income, as used in the income summaries, represents dividends
and/or interest on securities we receive on your behalf and credit to
your account(s) during the calendar year. We report dividend
distributions and taxable bond interest credited to your account to the
Internal Revenue Service. The totals we report may differ from those
indicated as "This Year" figures on the last statement for the calendar
year. In the case of Real Estate Investment Trusts (REITs), Master
Limited Partnerships, Regulated Investment Companies and Unit
Investment Trusts, some sponsors may reclassify the distribution to a
different tax type for year-end reporting.
Transaction Dates and Conditions
Transactions display trade date and settlement date. Transactions are
included on this statement on trade date basis (excluding BDP and
MMFs). Trades that have not settled as of statement month end will
also be displayed in the "Unsettled Purchases/Sales Activity" section.
Upon written request, we will give you the date and time of a
transaction and the name of the other party to a transaction. We and/or
our affiliates may accept benefits that constitute payment for order
flow. Details regarding these benefits and the source and amount of
any other remuneration received or to be received by us in connection
with any transaction will be furnished upon written request.
Tax and Legal Disclosure
Morgan Stanley does not provide legal or tax advice. Please consult
your own tax advisor.
purchase at such price. There can be no assurance that a successful We are a member of Securities Investor Protection Corporation (SIPC),
auction will occur or that a secondary market exists or will develop for which protects securities of its customers up to $500,000 (including Revised 09/2014
a particular security. The prices of any Auction Rate Securities in most $250,000 for claims for cash). An explanatory brochure is available
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PRIVATE WEALTH MANAGEMENT
Page 20 of 20
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CLIENT STATEMENT I For the Period January 1 -31, 2015
STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 1/31/15) $17,675,131.67
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Int’l Collect)
Access Your Account Online: www.morganstanley.com/PWM
654 -028319-041 -1-0
MS-USAO-0017803
Morgan Stanley
CLIENT STATEMENT I For the Period January 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 2 of 10
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(1 /1/15-1/31/15) (1 /I /15-1/31 /15)
TOTAL BEGINNING VALUE
$18,436,429.61
$18,436,429.61
Credits
213,915.73
213,915.73
Debits
(583,527.34)
(583,527.34)
Security Transfers
(1,057,364.00)
(1,057,364.00)
Net Credits/Debits/Transfers
${1,426,975.61)
$(1,426,975.61)
Change in Value
665,677.67
665,677.67
TOTAL ENDING VALUE
$17,675,131.67
$17,675,131.67
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
— Total Market Value Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Municipal Bonds
Cash, BDP, MMFs !
Municipal Bonds A
TOTAL VALUE A
Market Value Percentage %
$73,473.35 0.4
17,601,658.32 _99.6_
$17,675,131.67 100.0%
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures. A Includes Estimated Accrued Interest
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CLIENT STATEMENT I For the Period January 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 3 of 10
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 12/31/14)
This Period
(as of 1/31/15)
CASH FLOW
This Period
(1/1/15-1/31/15)
This Year
(1/1/15 1/31/15)
Cash, BDP, MMFs
$460,642.76
$73,473.35
OPENING CASH, BDP, MMFs
$460,642.76
$460,642.76
ETFs & CEFs
Municipal Bonds A
1,027,478.50
16,948,308.35
17,601,658.32
Purchases
Sales and Redemptions
Income and Distributions
(692,761.13)
675,189.23
(692,761.13)
675,189.23
Total Assets
$18,436,429.61
$17,675,131.67
14.10
14.10
Total Liabilities (outstanding balance)
—
—
Total Investment Related Activity
$(17,557.80)
$(17,557.80)
TOTAL VALUE
$18,436,429.61
$17,675,131.67
Electronic Transfers-Credits
Electronic Transfers-Debits
213,915.73
(300,327.33)
213,915.73
(300,327.33)
Total Cash Related Activity
$(86,411.60)
$(86,411.60)
Checks Written
(234,745.83)
(234,745.83)
Automated Payments
(48,454.18)
(48,454.18)
Total Card/Check Activity
$(283,200.01)
$(283,200.01)
CLOSING CASH, BDP, MMFs
$73,473.35
$73,473.35
INCOME AND DISTRIBUTION SUMMARY
This Period
(1/1/15-1/31/15)
This Year
(1/1/15-1/31/15)
GAIN/(LOSS) SUMMARY
Realized This Period
Realized This Year
Unrealized
Inception to Date
Interest
$14.10
$14.10
(1/1/15-1/31/15)
(1/1/15-1/31/15)
(as of 1/31/15)
Short-Term Gain $4,231.79
Short-Term (Loss) (13,136.62)
$4,231.79
(13,136.62)
Total Taxable income And Distributions
$14.10
$14.10
Total Tax-Exempt Income
11 1 . .
Total Short-Term $(8,904.83)
$(8,904.83)
TOTAL INCOME AND DISTRIBUTIONS
$14.10
$14.10
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
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Morgan Stanley
CLIENT STATEMENT I For the Period January 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 4 of 10
Investment Objectives?: Capital Appreciation, Aggressive income Brokerage Account
t inform us if your investment objectives, as defined in the Expanded Disciosures, change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis. "Market Value" and "Unrealized Gain/(Loss)" may not reflect the value that could be obtained in the market Fixed Income securities are
sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income a) is calculated on a pre-tax basis, b) does not include any reduction for applicable non-US withholding taxes, c)
may include return of principal or capital gains which could overstate such estimates, and d) for securities that have a defined maturity date within the next 12 months, is reflected only through maturity date.
Actual income or yield may be lower or higher than the estimates. Current yield reflects the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. When displayed, accrued interest, annual income and yield for structured products with a contingent income feature (such as Range
Accrual Notes or contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest For Floating Rate Securities, the
accrued interest, annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market fund
balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
Value
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
$73,468.25
5.10
$37.00
0.050
0.050
CASH, BDP, AND MMFs
Percentage
of Assets %
04%
$73,473.35
Estimated
Annual income
Accrued interest
X $37l00
$ 0.00
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
MUNICIPAL BONDS
Security Description _ Trade Date
WAKPAMNI LAKE SD CMNTY CORP SPL —
LIMITED REVENUE
CUSIP 931130AC2
Face Value Adj. Unit Cost
Aqj. Total Cost
15,000,000.000
Please Provide
Please Provide
Market Value
$17,253,000.
it
Estimated
Unrealized AnnuaJJjnfiQme
Gain/(Loss) _ Accrued interest Yield %
$903,000.00 5.23
N/A $348,658.32
Unit Price: $115,020; Coupon Rate 6.020%; Matures 10/01/2021; Interest Paid Annually Oct 01; Yield to Maturity 3.476%; First Coupon 10/01/15; Subject to Federal Tax; Issued 09/12/14; In Safekeeping:
15,000,000.000
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CLIENT STATEMENT I For the Period January 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 5 of 10
MUNICIPAL. BONDS
Percentage
of Assets. %
15,000^000l00
Total Cost
$ 0.00
$ 0.00
Market Value
$17,253,000.00
Unrealized
Gain/(Lpss).
$0.00 ST
Estimated
Annua! income
Accrued interest
$903,000.06
$348,658.32
y:\M%
5723%"
TOTAL MUNICIPAL BONDS (incl.accr.int.)
99.6%
$17,601,658.32
Percents
of Assets
TOTAL MARKET VALUE
100 . 0 %
Tota^ost
$ 0.00
Market Value
Unrealized
Gain/I
$17,326,473.35
$0.00 ST
Estimated
Annual Income
Accrued interest
$903,037.00
$348,658.32
Yield%
Aim
TOTAL VALUE (includes accrued interest) $17,675,131.67
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash , MMF, Deposits and positions stating 'Please Provide'are not included .
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Dehits)
1/6
1/6
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
$47,249.07
1/6
1/6
Funds Transferred
WIRED FUNDS SENT
BENE: DEVON ARCHER
ACCT: XXXX3683
(123,727.33)
1/6
1/6
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 32020852
TO 654-028322
(10,000.00)
1/7
1/21
Check
THE WOLFF LAW FIRM
Check# 1046
(3,165.70)
1/8
1/12
Check
EPC GRP INC
Check# 1041
(9,000.00)
1/8
1/13
Check
DANIEL GRELLA
Check # 1039
(6,000.00)
1/8
1/13
Check
DOMINICK GRELLA
Check# 1040
(6,000.00)
1/8
1/8
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(10,000.00)
1/9
1/9
Automated Payment
BANK OF THE WEST !C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326.48)
1/12
1/21
Check
U S TREASURY
Check# 1042
(200,000.00)
1/12
1/20
Check
JESSUP LANDSCAPING INC
Check# 1044
(3,000.00)
1/12
1/21
Check
THE TOLL ROADS VIOLATION DEPT
Check# 1043
(1,580.13)
1/14
1/20
Sold
HEALTH CARE SEL SECT SPDR FD
PREFERENTIAL RATE
COMM. 1.5 CENTS PER SHARE
ACTED AS AGENT
4,950.000
69.8728
345,781.96
1/14
1/15
Check
EPC GRP INC
Check# 1045
(6,000.00)
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Morgan Stanley
CLIENT STATEMENT I For the Period January 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 6 of 10
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99099090909990999090999099909990999099909090999090909090900090009000909090009000999099909990909099
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0990990099900009990090000000990009009900090009900990090009909990909099900090090000900*909000900000
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00000009000000000000000900090009000000000000000000000000000000000000000*0000000*0000000*000*000*00
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...
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Dehits)
1/14
1/20
Bought
ENERGY SEL SECT SPDR FD
PREFERENTIAL RATE
COMM. 1.5 CENTS PER SHARE
ACTED AS AGENT
4,900.000
73.2270
(358,892.30)
1/15
1/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
1/15
1/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
1/15
1/21
Sold
THE TECHNOLOGY SEL SEC SPDR FD
PREFERENTIAL RATE
COMM. 1.0 CENTS PER SHARE
ACTED AS AGENT
8,200.000
40.1833
329,407.27
1/15
1/21
Bought
CONS DISCRET SEL SECT SPDR FD
PREFERENTIAL RATE
COMM. 1.0 CENTS PER SHARE
ACTED AS AGENT
2,600.000
69.1962
(179,942.62)
1/15
1/21
Bought
ENERGY SEL SECT SPDR FD
PREFERENTIAL RATE
COMM. 1.0 CENTS PER SHARE
ACTED AS AGENT
2,100.000
73.2851
(153,926.21)
1/21
1/21
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 32436149
TO 654-029324
(10,000.00)
1/21
1/21
Funds Transferred
WIRED FUNDS SENT
BENE: RSTP CAPITAL
ACCT: XXXXXX2742
(25,000.00)
1/22
1/22
Funds Transferred
WIRED FUNDS SENT
BENE: ARCADIA RESOURCES INVEST
ACCT: XXXXXX1978
(30,500.00)
1/22
1/22
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(15,000.00)
1/23
1/23
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(36,752.70)
1/23
1/23
Funds Transferred
WIRED FUNDS SENT
BENE: DMITRIY D0R0GAN
ACCT: XXXXXX1282
(1,500.00)
1/26
1/26
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 32564340
TO 654-028322
(41,000.00)
1/27
1/27
Funds Transferred
WIRED FUNDS SENT
BENE: BGW CONSULTING C0RP INC
ACCT: XXXXXXXX2981
(18,600.00)
1/30
1/30
Interest Income
MORGAN STANLEY BANK N.A
(Period 01/01-01/31)
9.00
1/30
1/30
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 01/01-01/31)
5.10
1/30
1/30
Automated Payment
VRB0 388264 38 RENT
AUTOMATIC BILL PAYMENT
(7,375.00)
1/30
1/30
Automated Payment
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
(3,000.00)
1/30
1/30
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(15,000.00)
FOIA Confidential Treatment Requested
MS-USAO-0017808
Morgan Stanley
CLIENT STATEMENT I For the Period January 1-31, 2015 PRIVATE WEALTH MANAGEMENT PageTsflO
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date
Date
, X # X , X , X , X^X*X # X # X # X , X , X # X i X , X # X # X , X # X # X*X , X # l # K
Activity Type
Comments
Quantity
Price
Credits/CDebits)
NET CREDITS/(DEBITS)
$(387,169.41)
Purchase and Sale transactions above may have received an average price execution. Details regarding the actual prices are available upon request.
DEBIT CARD & CHECKING ACTIVITY
CHECKS WRITTEN
Date
Written
Date
Paid
Check Number
Activity Type
TOTAL CHECKS WRITTEN
Payee
Expense Category
Credits/CDebits)
1/8
1/13
1039
Check
DANIEL GRELLA
$(6,000.00)
1/8
1/13
1040
Check
DOMINICK GRELLA
(6,000.00)
1/8
1/12
1041
Check
EPC GRP INC
(9,000.00)
1/12
1/21
1042
Check
U S TREASURY
(200,000.00)
1/12
1/21
1043
Check
THE TOLL ROADS VIOLATION DEPT
(1,580.13)
1/12
1/20
1044
Check
JESSUP LANDSCAPING INC
(3,000.00)
1/14
1/15
1045
Check
EPC GRP INC
(6,000.00)
1/7
1/21
1046
Check
THE WOLFF LAW FIRM
(3,165.70)
$(234,745.83)
AUTOMATED PAYMENTS
77/ pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Date
Paid
Activity Type
Payee
Credits/(Debits)
1/9
1/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
$(1,326.48)
1/23
1/23
Automated Payment
AMEX EPayment ACH PMT
(36,752.70)
1/30
1/30
Automated Payment
VRBO 388264 38 RENT
(7,375.00)
1/30
1/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
TOTAL AUTOMATED PAYMENTS
$(48,454.18)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Credits/(Debits)
$47,249.07
(133,727.33)
(11,326.48)
Date Activity Type
Description
1/6 Automatic Investment
BANK DEPOSIT PROGRAM
1/7 Automatic Redemption
1ANK DEPOSIT PROGRAM
1/9 Automatic Redemption
iANK DEPOSIT PROGRAM
FOIA Confidential Treatment Requested
MS-USAO-0017809
Morgan Stanley
CLIENT STATEMENT I For the Period January 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 8 of 10
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY (CONTINUED)
Date
Activity Type
Description
Credits/(Debits)
1/12
Automatic Redemption
BANK DEPOSIT PROGRAM
(9,000.00)
1/13
Automatic Redemption
BANK DEPOSIT PROGRAM
(12,000.00)
1/15
Automatic Investment
BANK DEPOSIT PROGRAM
160,666.66
1/20
Automatic Redemption
BANK DEPOSIT PROGRAM
(16,110.34)
1/21
Automatic Redemption
BANK DEPOSIT PROGRAM
(219,207.39)
1/22
Automatic Redemption
BANK DEPOSIT PROGRAM
(25,000.00)
1/23
Automatic Redemption
BANK DEPOSIT PROGRAM
(82,252.70)
1/26
Automatic Redemption
BANK DEPOSIT PROGRAM
(1,500.00)
1/27
Automatic Redemption
BANK DEPOSIT PROGRAM
(41,000.00)
1/28
Automatic Redemption
BANK DEPOSIT PROGRAM
(18,600.00)
1/30
Automatic Investment
BANK DEPOSIT PROGRAM
900
1/30
Automatic Investment
BANK DEPOSIT PROGRAM
5,10
1/30
Automatic Redemption
BANK DEPOSIT PROGRAM
(25,375.00)
NET ACTIVITY FOR PERIOD
$(387,169.41)
TRANSFERS, CORPORATE ACTIONS AND ADDITIONAL ACTIVITY
SECURITY TRANSFERS
Date
Activity Type
Security (Symbol)
Comments
Quantity
Accrued interest
Amount
1/21
Transfer out of Account
CONS DISCRET SEL SECT SPDR FD
PER VERBAL
INSTRUCTIONS
TO 654-029324-000 AO
01/21/15
7,450.000
$(519,414.00)
1/21
Transfer out of Account
ENERGY SEL SECT SPDR FD
PER VERBAL
INSTRUCTIONS
TO 654-029324-000 AO
01/21/15
7,000.000
(537,950.00)
TOTAL SECURITY TRANSFERS
$(1,057,364.00)
REALIZED GAIN/(LOSS) DETAIL
SHORT-TERM GA!N/(LOSS)
Security Description _
HEALTH CARE SEL SECT SPDR FD
Date
Acquired
11/19/14
Date
Sold
01/14/15
Quantity
4,950.000
Sales
Proceeds
$345,781.96
Ortg / Adj
Total Cost
$341,550.17
Realized
Gain/(Lo$s) Comments
$4,231.79
FOIA Confidential Treatment Requested
MS-USAO-0017810
Morgan Stanley
CLIENT STATEMENT I For the Period January 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 9 of 10
REALIZED GAINZ(LOSS) DETAIL (CONTINUED)
SHORT-TERM GAIN/(LGSS) (CONTINUED)
Security Description
Date
Acquired
Date
Sold
Quantity
Sales
Proceeds
Grig / Adj
Total Cost
Realized
Gain/(Loss) Comments
THE TECHNOLOGY SEL SEC SPDR FD
17/19/14
01/15/15
8,200.000
329,407.27
342,543.89
(13,7 36.62)
Short-Term This Period
$675,189.23
$684,094.06
$(8,904.83)
Short-Term Year to Date
$675,189.23
$684,094.06
$(8,904.83)
Net Realized Gain/(Loss) This Period
$675,189.23
$684,094.06
$(8,904.83)
Net Realized Gain/(Los$) Year to Date
$675,189.23
$684,094.06
$(8,904.83)
Treasury regulations require that we report on Form 1099-B a) adjusted cost basis on the sale of covered securities acquired on or after 7/7/7 7 (or the applicable date for the type of security), b) the gain or loss as
either long-term or short-term, and c) basis adjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance. This section may not reflect all the basis adjustments
required when filing your tax return. Refer to the Expanded Disclosures.
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
FOIA Confidential Treatment Requested
MS-USAO-0017811
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p a g@ -fo of 10
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Products may not perform in a manner consistent with the
statement product category in which they appear and therefore may not
satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody's investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 01/2015
FOIA Confidential Treatment Requested
MS-USAO-0017812
CLIENT STATEMENT I For the Period February 1 -28, 2015
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STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 2/28/15) $1 7,355,735.43
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Int’l Collect)
Access Your Account Online: www.morganstanley.com/PWM
654 -028319-041 -1-0
MS-USAO-OOI7813
Morgan Stanley
CLIENT STATEMENT I For the Period February 1-28, 2015 PRIVATE WEALTH MANAGEMENT Page 2 of 8
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Products may not perform in a manner consistent with the
statement product category in which they appear and therefore may not
satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody's investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 01/2015
FOIA Confidential Treatment Requested
MS-USAO-0017814
Morgan Stanley
CLIENT STATEMENT I For the Period February 1-28, 2015 PRIVATE WEALTH MANAGEMENT Page 3 of 8
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(2/1/15-2/28/15) (1/1/15-2/28/15)
TOTAL BEGINNING VALUE
$17,875,131.67
$18,436,429.61
Credits
294,118.40
508,034.13
Debits
(367,591.75)
(951,119.09)
Security Transfers
_
(1,057,364.00)
Net Credits/Debits/Transfers
$(73,473.35)
$(1,500,448.96)
Change in Value
(245,922.89)
419,754.78
TOTAL ENDING VALUE
$17,355,735.43
$17,355,735.43
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Cash, BDP, MMFs !
Municipal Bonds A
TOTAL VALUE A
Market Value
$ 2.11
17,355,733.32
$17,355,735.43
Percentage %
0.0
10 0.0 _
100 . 0 %
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures. A Includes Estimated Accrued Interest
FOIA Confidential Treatment Requested
MS-USAO-OOI7815
Morgan Stanley
CLIENT STATEMENT I For the Period February 1-28, 2015 PRIVATE WEALTH MANAGEMENT Page 4 of 8
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 1/31/15)
This Period
(as of 2/28/15)
Cash, BDP, MMFs
Municipal Bonds A
$73,473.35
17,601,658.32
$2.11
17,355,733.32
Total Assets
$17,675,131.67
$17,355,735.43
Total Liabilities (outstanding balance) — —
TOTAL VALUE
$17,675,131.67
$17,355,735.43
INCOME AND DISTRIBUTION SUMMARY
This Period
(2/1/15-2/28/15)
This Year
(1/1/15-2/28/15)
Interest
$2.11
$16.21
Total Taxable Income And Distributions
$2.11
$16.21
Total Tax-Exempt Income — —
TOTAL INCOME AND DISTRIBUTIONS
$2.11
$16.21
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
CASH FLOW
This Period
(2/1/15-2/28/15)
This Year
(1/1/15 2/28/15)
OPENING CASH, BDP, MMFs
$73,473.35
$460,642.76
Purchases
Sales and Redemptions
Income and Distributions
2.11
(692,761.13)
675,189.23
16.21
Total Investment Related Activity
$2.11
$(17,555.69)
Electronic Transfers-Credits
Electronic Transfers-Debits
294,118.40
(278,713.74)
508,034.13
(579,041.07)
Total Cash Related Activity
$15,404.66
$(71,006.94)
Checks Written
Automated Payments
(25,000.00)
(63,878.01)
(259,745.83)
(112,332 19)
Total Card/Check Activity
$(88,878.01)
$(372,078.02)
CLOSING CASH, BDP, MMFs
$2.11
$2.11
GAIN/(L0SS) SUMMARY
Realized This Period
(2/1/15-2/28/15)
Realized This Year
(1/1/15-2/28/15)
Unrealized
Inception to Date
(as of 2/28/15)
Short-Term Gain —
Short-Term (Loss) —
$4,231.79
(13,136.62)
—
Total Short-Term —
$(8,904.83)
—
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017816
Morgan Stanley
CLIENT STATEMENT I For the Period February 1-28, 2015 PRIVATE WEALTH MANAGEMENT Page 5 of 8
Investment Objectives?: Capital Appreciation, Aggressive income Brokerage Account
t inform us if your investment objectives, as defined in the Expanded Disciosures, change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis. "Market Value" and "Unrealized Gain/(Loss)" may not reflect the value that could be obtained in the market Fixed Income securities are
sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income a) is calculated on a pre-tax basis, b) does not include any reduction for applicable non-US withholding taxes, c)
may include return of principal or capital gains which could overstate such estimates, and d) for securities that have a defined maturity date within the next 12 months, is reflected only through maturity date.
Actual income or yield may be lower or higher than the estimates. Current yield reflects the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. When displayed, accrued interest, annual income and current yield for structured products with a contingent income feature (such as
Range Accrual Notes or contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest For Floating Rate
Securities, the accrued interest, annual income and current yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market fund
balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
CASH
Value
$ 2.11
«® a®a®a®*®*®*® a®a®a®a®*®*®*® »*•*•*»*»*•*•*•*•*•*a®*®*®*®*®*®*®*®*®*® a®a®.®»*•*•*•®»*•*•*•® »*•*•*•*»*•*»*•* ®
CASH, BDP, AND MMFs
Percentage
of Assets %
ad%
Mar mMm
$ 2.11
Estimated
AnnuaUncflmfi
Accrued Interest
iooo
$ 0.00
MUNICIPAL BONDS
Security Description _
WAKPAMNI LAKE SD CMNTY CORP SPL
LIMITED REVENUE
CUSIP 931130AC2
Trade Date
il l C ost
Face Value Adj. Unit Cost
Ad]. Total Cost
Market Value
15,000,000.000
Please Provide
Please Provide
$16,939,350.00
Unrealized
Gain/(Los$)
N/A
Estimated
Accrued Interest
$903,000.00
$416,383.32
Current
Yield %
5,33
Unit Price; $112,929; Coupon Rate 6.020%; Matures 10/01/2021; Interest Paid Annually Oct 01; Yield to Maturity 3.785%; First Coupon 10/01/15; Subject to Federal Tax; Issued 09/12/14; In Safekeeping:
15,000,000,000
FOIA Confidential Treatment Requested
MS-USAO-0017817
Morgan Stanley
CLIENT STATEMENT I For the Period February 1-28, 2015 PRIVATE WEALTH MANAGEMENT Page 6 of 8
MUNICIPAL. BONDS
Percentage
of Assets %
i 5 ,ooo^ooo!ooo
• ••••••a*
Ad]. Total Cost
$ 0.00
$ 0.00
Market Value
$16,939,350.00
Unrealized
Gain/(Lpss).
$0.00 ST
Estimated
Annua! Income
Accrued interest
$903,000.00
$416,383.32
Current
xm%
5733%"
TOTAL MUNICIPAL BONDS (incl.accr.int.)
100 . 0 %
$17,355,733.32
Percents
of Assets
TOTAL MARKET VALUE
100 . 0 %
Tota^ost
$ 0.00
Market Value
Unrealized
Gain/I
$16,939,352.11
$0.00 ST
Estimated
Annual Income
Accrued interest
$903,000.00
$416,383.32
Current
Yield %
5.20%
TOTAL VALUE (includes accrued interest) $17,355,735.43
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash , MMF, Deposits and positions stating 'Please Provide'are not included .
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
12/18
2/23
Check
CIRSD
Check# 1036
$(25,000.00)
2/2
2/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 32958567
50,000.00
FROM 654-028318
2/2
2/2
Automated Payment
CUSTOMIZED SERVI RENTPYMNT
AUTOMATIC BILL PAYMENT
(49 00)
2/2
2/2
Online Transfer
TRANSFER AS OF 01/31
CONFIRMATION # 32798186
TO 654-028318
(50,000.00)
2/3
2/3
Funds Transferred
WIRED FUNDS SENT
BENE: DMITRY DOROGAN
ACCT: XXXXXX1282
(1,500.00)
2/5
2/5
Automated Payment
J CONDOMINIUM SO 1010888706
AUTOMATIC BILL PAYMENT
(906.74)
2/6
2/6
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(15,000.00)
2/9
2/9
Funds Received
WIRED FUNDS RECEIVED
BANK OF CHINA
BOHAI HARVEST RST (SHANGHAI) E
2,451.74
2/10
2/10
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326.48)
2/10
2/10
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 33188552
TO 654-028322
(1,300.00)
2/11
2/11
Funds Received
WIRED FUNDS RECEIVED
WESTERN ALLIANCE BANK
REISSUED INC
25,000.00
2/17
2/17
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
2/17
2/17
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
83,333.33
BURISMA HOLDINGS LIMITED
FOIA Confidential Treatment Requested
MS-USAO-0017818
Morgan Stanley
CLIENT STATEMENT I For the Period February 1-28, 2015 PRIVATE WEALTH MANAGEMENT Page 7 of 8
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CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date Date
Activity Type
Description
Comments Quantity
Price
Credits/(Debits)
2/17
2/17
Funds Transferred
WIRED FUNDS SENT
BENE: THE WOLFF LAW FIRM
ACCT: XXXXXX1758
(6,300.00)
2/19
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(61,595.79)
2/23
2/23
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(15,000.00)
2/23
2/23
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 33514445
TO 654-028322
(5,000.00)
2/25
2/25
Funds Transferred
WIRED FUNDS SENT
BENE: THE LEXVEST GROUP LLC
ACCT: XXXX0975
(7,440.00)
2/26
2/26
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 33623943
FROM 654-028318
50,000.00
2/26
2/26
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 33623921
TO 654-028318
(50,000.00)
2/27
2/27
Interest Income
MORGAN STANLEY BANK N.A.
2.11
2/27
2/27
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 33752601
TO 654-029324
(127,173.74)
NET CREDITSZ(DEBiTS)
$(73,471.24)
DEBIT CARD & CHECKING ACTIVITY
CHECKS WRITTEN
Date
Written
Date
Paid
Check Number
Activity Type
Payee
Expense Category
Credits/(Debits)
12/18
2/23
1036
Check
CIRSD
$(25,000.00)
TOTAL CHECKS WRITTEN
$(25,000.00)
AUTOMATED PAYMENTS
Bill pay and other electronic activity , which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Payment
Date
Paid
Activity Type
Payee
Credits/(Debils)
2/2
2/2
Automated Payment
CUSTOMIZED SERVi RENTPYMNT
$(49.00)
2/5
2/5
Automated Payment
J CONDOMINIUM SO 1010888706
(906.74)
2/10
2/10
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
2/19
2/19
Automated Payment
AMEX EPayment
ACH PMT
(61,595.79)
TOTAL AUTOMATED PAYMENTS
$(63,878.01)
FOIA Confidential Treatment Requested
MS-USAO-0017819
Morgan Stanley
CLIENT STATEMENT I For the Period February 1-28, 2015 PRIVATE WEALTH MANAGEMENT Page 8 of 8
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Credits/{Debits)
$(49,00)
(1,500.00)
(906,74)
(12,548.26)
(2 026 - 48 )
25,000.00
166,666.66
(6,300.00)
(61,595.79)
(25,000.00)
( 20 , 000 . 00 )
(7,440.00)
(127,173.74)
NET ACTIVITY FOR PERIOD $(73,473.35)
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
Looking to increase your retirement savings?
There's still time before the April 15 deadline to open a Traditional IRA with contributions that may be tax-deductible on your 2014 tax return, a Traditional IRA with non-deductible contributions or, if you're eligible,
a Roth IRA with non-deductible contributions and the advantage of tax-free withdrawals (if certain conditions are met). The maximum contribution is the lesser of (a) your taxable compensation for 2014, or (b)
$5,500 (or $6,500 if you are age 50 or older). These limits apply to all your IRAs combined, Please call your Financial Advisor for more information about your retirement savings strategy,
information Regarding Dispiay of Disclosure pages
As part of our ongoing efforts to reduce the length of client statements, the Research Rating Definitions (if applicable) and Disclosures will now be displayed immediately preceding the first account in your statement
package.
Date Activity Type Description
2/2 Automatic Redemption BANK DEPOSIT PROGRAM
2/3 Automatic Redemption BANK DEPOSIT PROGRAM
2/5 Automatic Redemption BANK DEPOSIT PROGRAM
2/9 Automatic Redemption BANK DEPOSIT PROGRAM
2/10 Automatic Redemption BANK DEPOSIT PROGRAM
2/12 Automatic Investment BANK DEPOSIT PROGRAM
2/17 Automatic Investment BANK DEPOSIT PROGRAM
2/18 AiitcxmlicReclem BANiTPEPOSiTPROGRAM
2/19 Automatic Redemption BANK DEPOSIT PROGRAM
2/23 Automatic Redemption BANK DEPOSIT PROGRAM
2/24 Automatic Redemption BANK DEPOSIT PROGRAM
2/26 Automatic Redemption BANK DEPOSIT PROGRAM
2/27 Automatic Redemption BANK DEPOSIT PROGRAM
FOIA Confidential Treatment Requested
MS-USAO-0017820
CLIENT STATEMENT I For the Period March 1 -31, 2015
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STATEMENT FOR:
MSB FBO RSB f LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
MSB FBO RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 3/31/15) $17,410,584.94
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Int’l Collect)
Access Your Account Online: www.morganstanley.com/PWM
654 -028319-041 -1-0
MS-USAO-O017821
CLIENT STATEMENT I For the Period March 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH MAN AGE IV! ENT p aqe 2 of 10
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Products may not perform in a manner consistent with the
statement product category in which they appear and therefore may not
satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody's investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 01/2015
FOIA Confidential Treatment Requested
MS-USAO-0017822
CLIENT STATEMENT I For the Period March 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 3 0 f *30
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(3/1 /I 5-3/31/15) (1 /I /15-3/31 /15)
TOTAL BEGINNING VALUE
$17,355,735.43
$18,436,429.61
Credits
697,984.05
1,206,018.18
Debits
(577,996.44)
(1,529,115.53)
Security Transfers
_
(1,057,364.00)
Net Credits/Debits/Transfers
$119,987.61
$(1,380,461.35)
Change in Value
(65,138.10)
354,616.68
TOTAL ENDING VALUE
$17,410,584.94
$17,410,584.94
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
— Total Market Value Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Cash, BDP, MMFs !
Municipal Bonds A
TOTAL VALUE A
Market Value
$119,991.59
17,290,593.35
$17,410,584.94
Percentage %
0.7
_99.3_
100 . 0 %
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures. A Includes Estimated Accrued Interest
FOIA Confidential Treatment Requested
MS-USAO-0017823
CLIENT STATEMENT I For the Period March 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 4 0 f *30
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 2/28/15)
This Period
(as of 3/31/15)
Cash, BDP, MMFs
Municipal Bonds A
$2.11
17,355,733.32
$119,991.59
17,290,593.35
Total Assets
$17,355,735.43
$17,410,584.94
Total Liabilities (outstanding balance) — —
TOTAL VALUE
$17,355,735.43
$17,410,584.94
Portfolio Loan Account (754XXXX905)
—
(351,000.00)
Total Other Liabilities
—
$(351,000.00)
(not included in Total Value)
The Portfolio Loan Account is a securities-based loan that may not be used to purchase , trade or carry
marketable securities , or to repay margin debt The Portfolio Loan Account is offered by Morgan Stanley
Bank f N.A., an affiliate of Morgan Stanley Smith Barney LLC.
INCOME AND DISTRIBUTION SUMMARY
This Period
(3/1/15-3/31/15)
This Year
(1/1/15-3/31/15)
Interest
$1.87
$18.08
Total Taxable Income And Distributions
$1.87
$18.08
Total Tax-Exempt Income — —
TOTAL INCOME AND DISTRIBUTIONS
$1.87
$18.08
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
CASH FLOW
This Period
(3/1/15-3/31/15)
This Year
(1/1/15 3/31/15)
OPENING CASH, BDP, MMFs
$2.11
$460,642.76
Purchases
Sales and Redemptions
Income and Distributions
1 87
(692,761.13)
675,189.23
18.08
Total Investment Related Activity
$1.87
$(17,553.82)
Electronic Transfers-Credits
Electronic Transfers-Debits
697,984.05
(538,658.38)
1,206,018.18
(1,117,699.45)
Total Cash Related Activity
$159,325.67
$88,318.73
Checks Written
Automated Payments
(39,338.06)
(259,745.83)
(151,670 25)
Total Card/Check Activity
$(39,338,06)
$(411,416.08)
CLOSING CASH, BDP, MMFs
$119,991.59
$119,991.59
GA!N/(L0SS) SUMMARY
Realized This Period
(3/1/15-3/31/15)
Realized This Year
(1/1/15-3/31/15)
Unrealized
Inception to Date
(as of 3/31/15)
Short-Term Gain —
Short-Term (Loss) —
$4,231.79
(13,136.62)
—
Total Short-Term —
$(8,904.83)
—
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017824
CLIENT STATEMENT I For the Period March 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 5 0 f *sq
Investment Objectives?: Capital Appreciation, Aggressive income Brokerage Account
t inform us if your investment objectives, as defined in the Expanded Disciosures, change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis. "Market Value" and "Unrealized Gain/(Loss)" may not reflect the value that could be obtained in the market Fixed Income securities are
sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income a) is calculated on a pre-tax basis, b) does not include any reduction for applicable non-US withholding taxes, c)
may include return of principal or capital gains which could overstate such estimates, and d) for securities that have a defined maturity date within the next 12 months, is reflected only through maturity date.
Actual income or yield may be lower or higher than the estimates. Current yield reflects the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. When displayed, accrued interest, annual income and current yield for structured products with a contingent income feature (such as
Range Accrual Notes or contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest For Floating Rate
Securities, the accrued interest, annual income and current yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market fund
balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
Value
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
$119,991.56
0.03
$24.00
0.020
0.020
CASH, BDP, AND MMFs
Percentage
of Assets %
07%
••••••••••••••••••••••••••••••••••
Market V alue
$119,991.59
Estimated
Annual income
Accrued Interest _
$24$0
$0.00
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
MUNICIPAL BONDS
Security Description _ Trade Date
WAKPAMNI LAKE SD CMNTY CORP SPL —
LIMITED REVENUE
CUSIP 931130AC2
Face Value Adj. Unit Cost
Aqj. Total Cost
15,000,000.000
Please Provide
Please Provide
Market Value
$16,791,435.
it
Estimated
Unrealized AnouaLincflmfi Current
Gain/(Loss) Accrued Interest Yield %
$903,000.00 5 37
$499,158.35
Unit Price: $111.943; Coupon Rate 6.020%; Matures 10/01/2021; Interest Paid Annually Oct 01; Yield to Maturity 3.921 %; First Coupon 10/01/15; Subject to Federal Tax; Issued 09/12/14
FOIA Confidential Treatment Requested
MS-USAO-0017825
CLIENT STATEMENT I For the Period March 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe g 0 f *sq
MUNICIPAL BONDS
Percentage
of Assets. %
15,000^000l00
ii.i i.i.
Total Cost
$ 0.00
$ 0.00
Market Value
$16,791,435.00
Unrealized
Gain/(Lpss).
$0.00 ST
Estimated
Annual Income
Accrued interest
$903,000.00
$499,158.35
Current
5738%"
TOTAL MUNICIPAL BONDS (incl.accr.int.)
99.3%
$17,290,593.35
Percenta
of Assets
TOTAL MARKET VALUE
100 . 0 %
Tota^ost
$ 0.00
Market Value
Unrealized
Gain/I
$16,911,426.59
$0.00 ST
Estimated
Annual Income
Accrued Interest
$903,024.00
$499,158.35
Current
Yield %
5.19%
TOTAL VALUE (includes accrued interest) $i7,4io,584.94
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash , MMF, Deposits and positions stating 'Please Provide'are not included .
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Dehits)
3/2
3/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 33973595
$10,000.00
FROM 654-028320
3/2
3/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 33941863
3,000.00
FROM 654-028318
3/2
3/2
Automated Payment
BANK OF AMERICA
AUTOMATIC BILL PAYMENT
(3,000.00)
3/2
3/2
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(10,000.00)
3/5
3/5
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 34087045
1,000.00
FROM 654-028320
3/5
3/5
Automated Payment
J CONDOMINIUM SO
AUTOMATIC BILL PAYMENT
(906.74)
3/10
3/10
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 34190401
1,400.00
FROM 654-028320
3/10
3/10
Automated Payment
BANK OF THE WEST
AUTOMATIC BILL PAYMENT
(1,326.48)
3/11
3/11
Online Transfer
TRANSFER AS OF 03/10
CONFIRMATION # 34203444
107,458.38
FROM 654-028320
3/12
3/12
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 34243664
TO 654-028320
(107,458.38)
3/16
3/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
3/16
3/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
83,333.33
BURISMA HOLDINGS LIMITED
FOIA Confidential Treatment Requested
MS-USAO-0017826
CLIENT STATEMENT I For the Period March 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 7 0 f *30
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* p p p *
p p p p p
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
3/16
3/16
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 34381044
FROM 654-028320
107,459.01
3/16
3/16
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 34381051
TO 654-028322
(3,000.00)
3/17
3/17
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 34408422
FROM 654-028318
50,000.00
3/17
3/17
Funds Transferred
WIRED FUNDS SENT
BENE: BGW CONSULTING C0RP INC.
ACCT: XXXXXXXX2981
(10,000.00)
3/17
3/17
Funds Transferred
WIRED FUNDS SENT
BENE: ZEMKA ZETA LLC
ACCT: XXXXXX6722
(9,500.00)
3/17
3/17
Funds Transferred
WIRED FUNDS SENT
BENE: ANNA KASHUBA
ACCT: XXXXXXXX1531
(2,000.00)
3/17
3/17
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 34408402
TO 654-028318
(50,000.00)
3/24
3/24
Funds Received
WIRED FUNDS RECEIVED
BANK OF AMERICA NA NY
BURNHAM SECURITIES INC.
251,000.00
3/24
3/24
Funds Transferred
WIRED FUNDS SENT
BENE: PERSHING LLC
ACCT: XXXXXX2385
(20,000.00)
3/25
3/25
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 34608260
TO PLA 754 XXXX905
(251,000.00)
3/25
3/25
Funds Transferred
WIRED FUNDS SENT
BENE: RAYMOND DESR0SIERS
ACCT: XXXXXXXX0064
(1,000.00)
3/26
3/26
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(31,104.84)
3/26
3/26
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 34655916
TO 654-028322
(6,000.00)
3/30
3/30
Automated Payment
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
(3,000.00)
3/30
3/30
Funds Transferred
WIRED FUNDS SENT
BENE: BGW CONSULTING C0RP.
ACCT: XXXXXXXX2981
(65,000 00)
3/30
3/30
Funds Transferred
WIRED FUNDS SENT
BENE: MCG AUTOMOTIVE LLC
ACCT: XXXXXX0802
(2,550.00)
3/30
3/30
Funds Transferred
WIRED FUNDS SENT
BENE: RAYMOND DESR0SIERS
ACCT: XXXXXXXX0064
(1,150.00)
3/31
3/31
Interest Income
MORGAN STANLEY BANK N.A.
(Period 03/02-03/31)
1.84
3/31
3/31
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 03/01-03/31)
0.03
NET CREDITSZ(DEBITS) $119,989.48
FOIA Confidential Treatment Requested
MS-USAO-0017827
CLIENT STATEMENT I For the Period March 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 8 of 10
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
j
ill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of Date
Payment Paid _ Activity Type _ Payee _ Credifcs/(Debits)
3/2
3/2
Automated Payment
BANK OF AMERICA
$(3,000.00)
3/5
3/5
Automated Payment
J CONDOMINIUM SO
(906.74)
3/10
3/10
Automated Payment
BANK OF THE WEST
(1,326.48)
3/26
3/26
Automated Payment
AMEX EPayment ACH PMT
(31,104.84)
3/30
3/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
TOTAL AUTOMATED PAYMENTS
$(39,338.06)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date Activity Type
3/2
3/1
3/31
3/31
3/31
Automatic Investment
3/5 Automatic Redemption
3/6 Automatic Investment
3/10 Automatic Investment
3/11 Automatic Investment
3/12 Automatic Redemption
3/17 Automatic Investment
Automatic Redemption
3/25 Automatic Redemption
3/26 Automatic Redemption
3/27 Automatic Redemption
3/30 Automatic Redemption
Automatic I nvestment
Automatic Investment
Automatic Redemption
NET ACTIVITY FOR PERIOD
Description
BANK DEPOSIT PROGRAM
>ANK DEPOSIT PROGRAM
IANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
•ANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
ANK DEPOSIT PROGRAM
ANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
IANK DEPOSIT PROGRAM
>ANK DEPOSIT PROGRAM
lANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO
LOUIS PLUNG AND COMPANY, LLP
Credits/(Dehits)
$ 2.11
(2 11 )
95.37
73.52
107,458.38
(107,458.38)
271,125.67
(21,500.00)
( 20 , 000 . 00 )
(32,104.84)
( 6 , 000 . 00 )
(3,000.00)
1.84
0.03
(68,700.00)
$119,991.59
FOIA Confidential Treatment Requested
MS-USAO-0017828
CLIENT STATEMENT I For the Period March 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 9 0 f *30
MESSAGES
Consolidated Statement of Financial Condition (in Millions of Dollars)
At December 31, 2014 Morgan Stanley Smith Barney LLC had net capital of $4,620 which exceeded the Securities and Exchange Commission's minimum requirement by $4,460. A copy of the Morgan Stanley Smith
Barney LLC Consolidated Statement of Financial Condition at December 31, 2014 can be viewed online at:
http://www.morganstanley.com/about/ir/shareholder/morganstanley__smithbarneyJlc.pdf or may be mailed to you at no cost by calling 1 (866) 825-1675, after March 15, 2015.
Make Your Annual IRA Contribution
The deadline to make your 2014 IRA contribution is April 15, 2015, so there is still time to contribute to a Traditional or Roth IRA, if eligible. The maximum contribution is the lesser of (a) your taxable compensation
for 2014, or (b) $5,500 (or $6,500 if you are age 50 or older) for 2014. These limits apply to all your IRAs combined. Your Financial Advisor can help you open a new IRA or fund an existing one. You can even
move funds from an existing Morgan Stanley non-retirement account to fund your contribution. Speak with your Financial Advisor about making an IRA contribution for 2015 at the same time and take advantage of a
year of additional potential growth,
Sign up for eDelivery of your Statements Today
Would you like to receive your Statements and other documents faster, more securely and with the added benefit of reducing paper mail? Simply visit www.morganstanley.com/edelivery to set your eDelivery
preferences today. Please note, if you have not already, you will first need to register for Morgan Stanley Online, to make your eDelivery selections.
FOIA Confidential Treatment Requested
MS-USAO-0017829
PRIVATE WEALTH MANAGEMENT
Page 10 of 10
This page intentionally left blank
FOIA Confidential Treatment Requested
MS-USAO-0017830
CLIENT STATEMENT I For the Period April 1 -30, 2015
STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 4/30/15) $144,865.68
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
+ 1 801-617-9179 (Int’l Collect)
Access Your Account Online: www.morganstanley.com/PWM
654 -028319-041 -1-0
MS-USAO-0017831
CLIENT STATEMENT I For the Period April 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH MAN AGE IV! ENT p aqe 2 of 10
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Products may not perform in a manner consistent with the
statement product category in which they appear and therefore may not
satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody's investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 01/2015
FOIA Confidential Treatment Requested
MS-USAO-0017832
CLIENT STATEMENT I For the Period April 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 3 0 f *30
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(4/1/15-4/30/15) (1/1/15-4/30/15)
TOTAL BEGINNING VALUE
$17,410,584.94
$18,436,429.61
Credits
3,280,902.66
4,486,920.84
Debits
(3,256,031.90)
(4,785,147.43)
Security Transfers
(16,791,435.00)
(17,848,799.00)
Accrued Interest On Security Transfers
(519,225.00)
(519,225.00)
Net Credits/Debits/Transfers
$(17,285,789.24)
$(18,666,250.59)
Change in Value
20,069.98
374,686.66
TOTAL ENDING VALUE $144,865.68 $144,865.68
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Cash, BDP, MMFs
TOTAL VALUE
Market Value Percentage %
$144,865.68 _ 100.0
$144,865.68 100.0%
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017833
CLIENT STATEMENT I For the Period April 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 4 0 f *30
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 3/31/15)
This Period
(as of 4/30/15)
Cash, BDP, MMFs
Municipal Bonds
$119,991.59
17,290,593.35
$144,865.68
Total Assets
$17,410,584.94
$144,865.68
Total Liabilities (outstanding balance) — —
TOTAL VALUE
$17,410,584.94
$144,865.68
Portfolio Loan Account (754XXXX905)
(351,000.00)
—
Total Other Liabilities
$(351,000.00)
—
(not included in Total Value)
The Portfolio Loan Account is a securities-based loan that may not be used to purchase , trade or carry
marketable securities , or to repay margin debt The Portfolio Loan Account is offered by Morgan Stanley
Bank f N.A., an affiliate of Morgan Stanley Smith Barney LLC.
INCOME AND DISTRIBUTION SUMMARY
This Period
(4/1/15-4/30/15)
This Year
(1/1/15-4/30/15)
Interest
$3.33
$21.41
Total Taxable Income And Distributions
$3.33
$21.41
Total Tax-Exempt Income — —
TOTAL INCOME AND DISTRIBUTIONS
$3.33
$21.41
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
CASH FLOW
This Period
(4/1/15-4/30/15)
This Year
(1/1/15 4/30/15)
OPENING CASH, BDP, MMFs
$119,991.59
$460,642.76
Purchases
Sales and Redemptions
Income and Distributions
3 33
(692,761.13)
675,189.23
21.41
Total Investment Related Activity
$3.33
$(17,550.49)
Electronic Transfers-Credits
Electronic Transfers-Debits
3,280,902.66
(3,183,559.66)
4,486,920.84
(4,301,259.11)
Total Cash Related Activity
$97,343.00
$185,661.73
Debit Card
Checks Written
Automated Payments
(300.38)
(25,000.00)
(47,171.86)
(300.38)
(284,745.83)
(198,842.11)
Total Card/Check Activity
$(72,472.24)
$(483,888.32)
CLOSING CASH, BDP, MMFs
$144,865.68
$144,865.68
GAIN/(LOSS) SUMMARY
Realized This Period
(4/1/15-4/30/15)
Realized This Year
(1/1/15-4/30/15)
Unrealized
Inception to Date
(as of 4/30/15)
Short-Term Gain —
Short-Term (Loss) —
$4,231.79
(13,136.62)
" ..
Total Short-Term —
$(8,904.83)
—
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017834
CLIENT STATEMENT 1 For the Period April 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 5 0 f *sq
Investment Objectives?: Capital Appreciation, Aggressive income Brokerage Account
t inform us if your investment objectives, as defined in the Expanded Disclosures, change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis. "Market Value" and "Unrealized Gain/(Loss)" may not reflect the value that could be obtained in the market Fixed Income securities are
sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income a) is calculated on a pre-tax basis, b) does not include any reduction for applicable non-US withholding taxes, c)
may include return of principal or capital gains which could overstate such estimates, and d) for securities that have a defined maturity date within the next 12 months, is reflected only through maturity date.
Actual income or yield may be lower or higher than the estimates. Current yield reflects the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. When displayed, accrued interest, annual income and current yield for structured products with a contingent income feature (such as
Range Accrual Notes or contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest For Floating Rate
Securities, the accrued interest, annual income and current yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market fund
balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
Value
MORGAN STANLEY BANK N.A. #
MORGAN STANLEY PRIVATE BANK NA #
$ 144 , 865.53
0.15
$14.00
0.010
0.010
CASH, BDP, AND MMFs
Percentage
of Assets %
MarketValue
$ 144 , 865'68
Estimated
Annual income
Accrued Interest
""""'$ 14^00
$ 0.00
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
Percen
TOTAL MARKET VALUE
100 . 0 %
TotalCost
$0.00
MarkeU/alue
$ 144 , 865.68
^Unrealized
Estimated
Annual Income
Accruedlnterest
$14.00
$ 0.00
Current
Yjeld%
0 . 01 %
TOTAL VALUE (includes accrued interest) $ 144 , 865.68
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included.
FOIA Confidential Treatment Requested
MS-USAO-0017835
CLIENT STATEMENT 1 For the Period April 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 0 0 f *sq
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credit$/(Dehits)
4/2
4/2
Funds Transferred
WIRED FUNDS SENT
BENE: THE LEXVEST GROUP LLC
ACCT: XXXXXXXX0064
$(880.00)
4/2
4/2
Funds Transferred
WIRED FUNDS SENT
BENE: MCG AUTOMOTIVE LLC
ACCT: XXXXXX0802
(700.00)
4/6
4/6
Automated Payment
J CONDOMINIUM SO 1010888706
AUTOMATIC BILL PAYMENT
(906.74)
4/6
4/6
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(20,000.00)
4/7
4/7
Funds Transferred
WIRED FUNDS SENT
BENE: THE WOLFF LAW FIRM
ACCT: XXXXXX1758
(6,580.00)
4/9
4/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326.48)
4/10
4/10
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 35331152
TO 654-028322
(2,500.00)
4/13
4/13
Funds Received
WIRED FUNDS RECEIVED
DEUTSCHE BANK TRUST COMPANY AM
ALIXPARTNERS LLP
3,014,236.00
4/13
4/13
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 35401184
TO 654-028320
(3,014,236.00)
4/14
4/21
Check
US TREAS
Check# 1112
(20,000.00)
4/14
4/23
Check
NEW YORK STATE
Check# 1113
(5,000.00)
4/14
4/14
Funds Transferred
WIRED FUNDS SENT
BENE: BGW CONSULTING CORP. INC
ACCT: XXXXXXXX2981
(15,000.00)
4/14
4/14
Funds Transferred
WIRED FUNDS SENT
BENE: WILFREDO MERCADO
ACCT: XXXXXX7281
(2,603.66)
4/14
4/14
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 35444914
TO 654-028322
(6,000.00)
4/15
4/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
83,333.33
BURISMA HOLDINGS LIMITED
4/15
4/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
4/23
4/23
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(41,938.64)
4/24
4/24
Funds Received
WIRED FUNDS RECEIVED
JPMORGAN CHASE BANK
THORSDALE FIDUCIARY AND GUARAN
100,000.00
4/24
4/24
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 35780891
TO PLA 754 XXXX905
(100,000.00)
4/25
4/27
Debit Card
SCOTTOS
Retail Stores HAMPTON BAYS NY
(90.59)
4/28
4/29
Debit Card
TROPIC JUICE BAR&GRI
Restaurants BROOKLYN NY
(25.59)
4/29
4/29
Funds Transferred
WIRED FUNDS SENT
BENE: BGW CONSULTING CORP. INC
ACCT: XXXXXXXX2981
(15,060.00)
4/29
4/30
Debit Card
NIGHTINGALE 9
Restaurants BROOKLYN NY
(103.19)
4/29
4/30
Debit Card
LEGENDS YANKEE STDM MD
Miscellaneous BRONX NY
(45.00)
FOIA Confidential Treatment Requested
MS-USAO-0017836
CLIENT STATEMENT I For the Period April 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 7 0 f *30
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/CDebits)
4/29
4/30
Debit Card
LEGENDS YANKEE STDM MD Miscellaneous BRONX
NY
(25.00)
4/29
4/30
Debit Card
SQ * AMPLE HILLS GOWANU Restaurants BROOKLYN
NY
(11.01)
4/30
4/30
Interest Income
MORGAN STANLEY BANK N.A
3 18
(Period 04/01 -04/30)
4/30
4/30
1 nterest Income
MORGAN STANLEY PRIVATE BANK NA
0.15
(Period 04/01-04/30)
4/30
4/30
Automated Payrrn
int BANK OF AMERICA ONLINE PMT AUTOMATIC BILL PAYMENT
(3,000.00)
NET CREDITS/(DEBITS)
$24,874.09
DEBIT CARD & CHECKING ACTIVITY
DEBIT CARD
DEVON ARCHER Card Ending in 9447
Date of
Date
Activity
Paid
Description
Location/Phone
Expense Category
Credits/CDebits)
4/25
4/27
SCOTTOS
HAMPTON BAYS NY
Retail Stores
$(90.59)
4/28
4/29
TROPIC JUICE BAR & GRI
BROOKLYN NY
Restaurants
(25.59)
4/29
4/30
NIGHTINGALE 9
BROOKLYN NY
Restaurants
(103.19)
4/29
4/30
LEGENDS YANKEE STDM MD
BRONX NY
Miscellaneous
(45.00)
4/29
4/30
LEGENDS YANKEE STDM MD
BRONX NY
Miscellaneous
(25.00)
4/29
4/30
SQ * AMPLE HILLS GOWANU
BROOKLYN NY
Restaurants
(11.01)
TOTAL DEBIT CARD - DEVON ARCHER
THIS PERIOD
$(300.38)
TOTAL DEBIT CARD
$(300.38)
CHECKS WRITTEN
Date
Date
Written
Paid
Check Number
Activity Type
Payee
Expense Category
Credits/CDebits)
4/14
4/21
1112
Check
US TREAS
$(20,000.00)
4/14
4/23
1113
Check
NEW YORK STATE
(5,000.00)
TOTAL CHECKS WRITTEN
$(25,000.00)
FOIA Confidential Treatment Requested
MS-USAO-0017837
CLIENT STATEMENT I For the Period April 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH MANAGEMENT Paae 8 of 10
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
J
ill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of Date
Payment Paid _ Activity Type _ Payee _ Credits/(Debits)
4/6
4/6
Automated Payment
J CONDOMINIUM SO 1010888706
$(906.74)
4/9
4/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
4/23
4/23
Automated Payment
AMEX EPayment ACH PMT
(41,938.64)
4/30
4/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
TOTAL AUTOMATED PAYMENTS
$(47,171.86)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date Activity Type
4/30
4/30
4/30
4/2 Automatic Redemption
4/6 Automatic Redemption
4/8 Automatic Redemption
4/9 Automatic Redemption
4/10 Automatic Redemption
4/13 Automatic Investment
4/14 Automatic Redemption
4/15 Automatic Investment
4/21 Automatic Redemption
4/23 Automatic Redemption
4/24 Automatic Investment
4/27 Automatic Redemption
4/29 Automatic Redemption
Automatic Investment
Automatic Investment
Automatic Redemption
Description
iANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
Credits/(Debits)
$(880.00)
(21,606.74)
(6,580.00)
(1,326.48)
(2,500.00)
3,014,236.00
(3,020,236.00)
149,063.00
( 20 , 000 . 00 )
(46,938.64)
100,000.00
(100,090.59)
(25,59)
3.18
0.15
(18,244.20)
NET ACTIVITY FOR PERIOD
$24,874.09
FOIA Confidential Treatment Requested
MS-USAO-0017838
CLIENT STATEMENT I For the Period April 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 9 0 f *30
TRANSFERS, CORPORATE ACTIONS AND ADDITIONAL ACTIVITY
SECURITY TRANSFERS
Date Activity Type
Security (Symbol)
Comments
Quantity
Accrued Interest
Amount
4/9 Transfer out of Account
WAKPAMNI LAKE BE 6020 210C01
PER LOA
TO 654-030737-000 AO
04/09/15
15,000,000 000
$(519,225.00)
$(16,791,435.00)
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
Debit Card Terms & Conditions Update
Section 1 B.9 of the Morgan Stanley Debit Card Terms and Conditions was recently updated to include terms for adding your Morgan Stanley Debit Card to Digital Wallets (e g., Apple Pay(TM)).
In addition, certain benefits for your Morgan Stanley Debit Card were previously underwritten by Virginia Surety Company and are now underwritten by New Hampshire Insurance Company, an AIG company, as of
February 1, 2015, Please call 1-800-MasterCard for coverage details or to make claims.
To access the updated Morgan Stanley Debit Card Terms and Conditions, please visit www.morganstanley.com/debitcardterms. if you have any questions, please do not hesitate to contact your Financial Advisor or
Private Wealth Advisor.
FOIA Confidential Treatment Requested
MS-USAO-0017839
PRIVATE WEALTH MANAGEMENT
Page 10 of 10
This page intentionally left blank
FOIA Confidential Treatment Requested
MS-USAO-0017840
CLIENT STATEMENT I For the Period May 1 -31, 2015
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STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 5/31/15) $334,949.23
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
Access Your Account Online: www.morganstanley.com/PWM
654-031823 -041 -1 -0
MS-USAO-O017841
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 2 of 10
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Products may not perform in a manner consistent with the
statement product category in which they appear and therefore may not
satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody's investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 01/2015
FOIA Confidential Treatment Requested
MS-USAO-0017842
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 3 of 10
Active
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(5/1 /I 5-5/31/15) (1 /I /15-5/31 /15)
TOTAL BEGINNING VALUE
$144,865.68
$18,436,429.61
Credits
474,046.70
4,960,967.54
Debits
(283,965.23)
(5,069,112.66)
Security Transfers
(17,848,799.00)
Accrued Interest On Security Transfers
(519,225.00)
Net Credits/Debits/Transfers
$190,081.47
$(18,476,169.12)
Change in Value
2.08
374,688.74
TOTAL ENDING VALUE $334,949.23 $334,949.23
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
BDP, MMFs
Cash, BDP, MMFs
Stocks
TOTAL VALUE
Market Value Percentage %
$84,949.23 25.4
250,0 00.00_ 74.6 _
$334,949.23 100.0%
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017843
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 4 of 10
Active
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 4/30/15)
This Period
(as of 5/31/15)
Cash, BDP, MMFs
Stocks
Net Unsettled Purchases/Sales
$144,865.68
$334,949.23
250,000.00
(250,000.00)
Total Assets
$144,865.68
$334,949.23
Total Liabilities (outstanding balance) — —
TOTAL VALUE
$144,865.68
$334,949.23
INCOME AND DISTRIBUTION SUMMARY
This Period
(5/1/15-5/31/15)
This Year
(1/1/15-5/31/15)
Interest
$2.08
$23.49
Total Taxable Income And Distributions
$2.08
$23.49
Total Tax-Exempt Income — —
TOTAL INCOME AND DISTRIBUTIONS
$2.08
$23.49
CASH FLOW
This Period
(5/1/15-5/31/15)
This Year
(1/1/15 5/31/15)
OPENING CASH, BDP, MMFs
$144,865.68
$460,642.76
Purchases
(250,000.00)
(942,761.13)
Sales and Redemptions
675,189.23
Net Unsettled Purch/Sales
250,000.00
250,000.00
Income and Distributions
2.08
23.49
Total Investment Related Activity
$2.08
$(17,548.41)
Electronic Transfers-Credits
286,666.66
4,773,587.50
Electronic Transfers-Debits
(91,830.62)
(4,393,089.73)
Other Credits
187,380.04
187,380.04
Other Debits
(187,380.04)
(187,380.04)
Total Cash Related Activity
$194,836.04
$380,497.77
Debit Card
(396.85)
(697.23)
Checks Written
(1,642.50)
(286,388.33)
Automated Payments
(2,715.22)
(201,557.33)
Total Card/Check Activity
$(4,754.57)
$(488,642.89)
CLOSING CASH, BDP, MMFs
$334,949.23
$334,949.23
GAINZ(LOSS) SUMMARY
Realized This Period
(5/1/15-5/31/15)
Realized This Year
(1/1/15-5/31/15)
Unrealized
Inception to Date
(as of 5/31/15)
Short-Term Gain —
$4,231.79
Short-Term (Loss) —
(13,136.62)
—
Total Short-Term —
$(8,904.83)
—•
The Gain/(Loss) Summary , which may change due to basis adjustments , is provided for informational
Taxable and tax exempt income classifications are based on the characteristics of the underlying purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures,
securities and not the taxable status of the account.
FOIA Confidential Treatment Requested
MS-USAO-0017844
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 5 of 10
Active
Investment Objectives?: Capital Appreciation, Aggressive income Brokerage Account
t Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis. "Market Value" and "Unrealized Gain/(Loss)" may not reflect the value that could be obtained in the market. Fixed Income securities are
sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income a) is calculated on a pre-tax basis, b) does not include any reduction for applicable non-US withholding taxes,
c) may include return of principal or capital gains which could overstate such estimates, and d) for securities that have a defined maturity date within the next 12 months, is reflected only through maturity date.
Actual income or yield may be lower or higher than the estimates. Current yield reflects the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column , appear in various statement product categories. When displayed, accrued interest, annual income and current yield for structured products with a contingent income feature (such
as Range Accrual Notes or contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest For Floating Rate
Securities, the accrued interest, annual income and current yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market
fund balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
7-Day
Description Market Value Current Yield % Est Ann Income APY %
MORGAN STANLEY BANK N A. #
$245,001.76
— $25.00
0.010
MORGAN STANLEY PRIVATE BANK NA #
89,947.47
— 9.00
0.010
BANK DEPOSITS
$334,949.23
$34.00
Percentage
Est Ann Income
of Assets
Market Value
Accrued Interest
CASH, BDP, AND MMFs $334,949.23 $34.00
$ 0.00
NET UNSETTLED PURCHASES/SALES
$(250,000.00)
CASH, BDP, AND MMFs (PROJECTED SETTLED BALANCE) 25.4%
$84,949.23
# Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national
bank and FDIC member.
The "Projected Settled Balance" includes accrued interest on deposits and reflects the impact of unsettled purchases/sales.
FOIA Confidential Treatment Requested
MS-USAO-0017845
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 6 of 10
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STOCKS
PREFERRED STOCKS
Unrealized Current
Security Description
Trade Date
Quantity
Unit Cost
Share Price
Total Cost
Market Value
Gain/(Loss)
Est Ann Income
Yield %
JPM0RGAN CHASE & CO 6.1%-AA ()CS0Z)
Moody BA1E
5/28/15
10,000000
$25,000
$25,000
$250,000.00
$250,000.00
$0.00 ST
Percentage
of Assets
Total Cost
Market Value
Unrealized
Gain/(Loss)
Est Ann Income
Accrued Interest
Current
Yield %
STOCKS
74.6%
$250,000.00
$250,000.00
$0.00 ST
$0.00
$0.00
—-
Percentage
of Assets
Total Cost
Market Value
Unrealized
Gain/(Loss)
Est Ann Income
Accrued Interest
Current
Yield %
TOTAL MARKET VALUE
$250,000.00
$334,949.23
$0.00 ST
$34.00
0.01%
TOTAL VALUE (includes accrued interest)
100 . 0 %
$334,949.23
Unrealized Gain/(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash , MMF, Deposits and positions stating 'Please Provide' are not included.
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/CDebits)
4/29
5/1
Debit Card
YANKEE STDM LEGENDS CL
Restaurants BRONX NY
$(29.04)
5/1
5/4
Debit Card
TROPIC JUICE BAR&GRI
Restaurants BROOKLYN NY
(25.59)
5/4
5/5
Debit Card
TROPIC JUICE BAR&GRI
Restaurants BROOKLYN NY
(13.79)
5/5
5/5
Automated Payment
J CONDOMINIUM SO 1010888706
AUTOMATIC BILL PAYMENT
(906.74)
5/5
5/5
Automated Payment
Maritime Sea Ins Insurance
AUTOMATIC BILL PAYMENT
(482.00)
5/5
5/6
Debit Card
TROPIC JUICE BAR&GRI
Restaurants BROOKLYN NY
(25.59)
5/6
5/6
Funds Transferred
WIRED FUNDS SENT
BENE: MCG AUTOMOTIVE LLC
ACCT: XXXXXX0802
(2,700.00)
5/6
5/7
Debit Card
FRANKIES SPUNTINO
Restaurants BROOKLYN NY
(237.07)
5/7
5/7
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 36370985
70,000.00
FROM 654-028322
5/7
5/7
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 36371043
50,000.00
FROM 654-028318
FOIA Confidential Treatment Requested
MS-USAO-0017846
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31,2015 PRIVATE WEALTH MANAGEMENT PageTsflO
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credit$/(Debits)
5/7
5/7
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 36371016
TO 654-028318
(50,000.00)
5/7
5/8
Debit Card
MICHAEL ACERRA GOLF
Amusement/Entertainment PLAN DOME
NY
(37 77)
5/8
5/8
Funds Transferred
WIRED FUNDS SENT
BENE: BOND NEW YORK PROPERTIES
ACCT:XXXXXXXX0850
(3,365.00)
5/8
5/8
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 36411151
TO 654-028322
(561 93)
5/8
5/11
Debit Card
GREENS IRISH PUB
Restaurants MANHASSET NY
(28 00)
5/9
5/11
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326 48)
5/11
5/11
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 36446310
TO 654-028322
(2,746.64)
5/13
5/18
Check
TOWN SOHO LLC
Check# 1114
(1,607.50)
5/13
5/13
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(15,000 00)
5/15
5/15
Funds Transferred
WIRED FUNDS SENT
BENE: BOND NEW YORK PROPERTIES
ACCT: XXXXXXXX0850
(12,457.05)
5/18
5/18
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
5/18
5/18
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
5/18
5/18
Other Credits
BANK DEPOSIT PROGRAM
187,380.040
187,380.04
5/18
5/22
Check
MARTIN NEWMAN
Check #1116
(35.00)
5/18
5/18
Funds Transferred
WIRED FUNDS SENT
BENE: OWASCO PC
ACCT: XXXXXX5142
(5,000,00)
5/18
5/18
Other Debits
BANK DEPOSIT PROGRAM
187,380.040
(187,380.04)
5/28
6/4
Bought
JPMORGAN CHASE & CO 6.1%-AA
ACTED AS PRINCIPAL
10,000.000
25.0000
(250,000.00)
5/29
5/29
Interest Income
MORGAN STANLEY BANK N.A.
(Period 05/01-05/31)
1.76
5/29
5/29
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 05/01-05/31)
0 32
NET CREDITS/(DEBITS)
$(59,916.45)
Purchase and Sale transactions above may have received an average price execution. Details regarding the actual prices are available upon request.
FOIA Confidential Treatment Requested
MS-USAO-0017847
Morgan Stanley
CLIENT STATEMENT I For the Period May 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 8 of 10
Active
UNSETTLED PURCHASES/SALES ACTIVITY
Transaction Settlement
Date Pate Activity Type
Description
Comments
Quantity
Price
Pending
Credits/(Debits)
5/28
6/4
nought
JPMORGAN CHASE & CO 6.1%-AA
UNSETTLED PURCHASE
10 , 000.000
$25.0000
$(250,000.00)
NET UNSETTLED PURCHASES/SALES
$(250,000.00)
This section displays transactions that have not settled during this statement period. The Holdings section includes positions purchased and omits positions sold or sold short as of the trade-date. The unit/share
price for unsettled fixed income new issues in the Holdings section may be approximate in advance of active market pricing or pricing from third party pricing services.
DEBIT CARD & CHECKING ACTIVITY
DEBIT CARD
DEVON ARCHER Card Ending in 9447
Date of
Activity
Date
Paid
Description
Location/Phone
Expense Category
Credits/(Debits)
4/29
5/1
YANKEE STDM LEGENDS CL
RONX
NY
Restaurants
$(29.04)
5/1
5/4
TROPIC JUICE BAR&GRI
BROOKLYN
NY
Restaurants
(25.59)
5/4
5/5
TROPIC JUICE BAR&GRI
BROOKLYN
NY
Restaurants
(13.79)
5/5
5/6
TROPIC JUICE BAR&GRI
BROOKLYN
NY
Restaurants
(25.59)
5/6
5/7
FRANKIES SPUNTINO
ROOKLYN
NY
Restaurants
(237.07)
5/7
5/8
MICHAEL ACERRA GOLF
PLANDOME
NY
Amusement/Entertainment
(37.77)
5/8
5/11
GREENS IRISH PU
MANHASSET NY
Restaurants
(28.00)
TOTAL DEBIT CARD - DEVON ARCHER
TOTAL DEBIT CARD
CHECKS WRITTEN
THIS PERIOD
$(396.85)
$(396.85)
Date
Written
Date
Paid
Check Number
Activity Type
Payee
Expense Category
TOTAL CHECKS WRITTEN
Credit$/(Debits)
5/13
5/18
1114
Check
TOWN SOHO LLC
$(1,607.50)
5/18
5/22
1116
Check
MARTIN NEWMAN
(35.00)
$(1,642.50)
AUTOMATED PAYMENTS
Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Payment
5/5
5/5
Date
Paid
Activity Type
Payee
Credits/(Debits)
5/5
5/5
Automated Payment
J CONDOMINIUM SO 1010888706
Automated Payment
Maritime Sea Ins Insurance
${906.74)
(482.00)
FOIA Confidential Treatment Requested
MS-USAO-0017848
CLIENT STATEMENT 1 For the Period May 1-31, 2015
Active
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS (CONTINUED)
Date of Date
Payment Paid _ Activity Type _ Payee _
5/9 5/11 Automated Payment _ BANK OF THE WEST 1C PAYMENT
TOTAL AUTOMATED PAYMENTS
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date Activity Type __ Description ___
5/1 Automatic Redemption BANK DEPOSIT PROGRAM
5/4 Automatic Redemption BANK DEPOSIT PROGRAM
5/5 Automatic Redemption BANK DEPOSIT PROGRAM
5/6 Automatic Redemption BANK DEPOSIT PROGRAM
5/7 Automatic Investment BANK DEPOSIT PROGRAM
578 Automatic Redemption BANK DEPOSIT PROGRAM
5/ii Automatic Redemption BANK DEPOSIT PROGRAM
5/14 Automatic Redemption BANK DEPOSIT PROGRAM
5/18 Automatic Investment BANK DEPOSIT PROGRAM
5/18 Automatic Redemption BANK DEPOSIT PROGRAM
5/18 Automatic Redemption BANK DEPOSIT PROGRAM
5/19 Automatic Investment BANK DEPOSIT PROGRAM
5/22 Automatic Redemption BANK DETOSIT PROGRAM
5/29 Automatic Investment BANK DEPOSIT PROGRAM
5/29 Automatic Investment BANK DEPOSIT PROGRAM
NET ACTIVITY FOR PERIOD
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
FOIA Confidential Treatment Requested
Credits/CDebits
$(2,715.22)
Credits/(Debits)
$(29 04)
(25 59)
(1,402,53)
(25 59)
67,062.93
(599 70)
(7,466.12)
(15,000,00)
187,380.04
(187,380.04)
(14,064,55)
161,666.66
(35 00)
1,76
Q 32~
$190,083.55
MS-USAO-0017849
CLIENT STATEMENT 1 For the Period May 1-31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aa@ -fo 0 f *f©
Active
MESSAGES
Reminder - New Account Number Change Reflected on this Statement
As recently communicated, accounts that were part of the December data incident have had their account numbers changed. This is your first statement reflecting these new account number(s).
Because we are committed to making the transition as seamless as possible for you, we have automatically handled the necessary internal client services on your behalf. However, you may need to share your new
account number(s) with third parties.
Please feel free to contact your Financial Advisor, Private Wealth Advisor, or the Client Service Center at 866-479-1841 or +1 (801) 617-9150 (International) if you have any questions.
FOIA Confidential Treatment Requested
MS-USAO-0017850
Morgan Stanley
CLIENT STATEMENT I For the Period June 1-30, 2015 PRIVATE WEALTH MANAGEMENT
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STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
TOTAL VALUE OF YOUR ACCOUNT (as of 6/30/15)
Includes Accrued Interest
$16,832,692.80
Morqan Stanley Private Wealth Manaqement, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
Access Your Account Online: www.morganstanley.com/PWM
654 - 031823 -041-1-0
FOIA Confidential Treatment Requested
MS-USAO-0017851
Morgan Stanley
CLIENT STATEMENT I For the Period June 1 -30, 201 5 PRIVATE WEALTH MANAGEMENT Page 2 of 10
Expanded Disclosures, which apply to all statements Morgan Stanley
Smith Barney LLC (we/us) sends to you, are provided with your first
statement and thereafter twice a year.
Questions?
Questions regarding your account may be directed to either your
Financial Advisor or the Branch Manager for the branch office where
you maintain your account, If you require further assistance, call the
Client Service Center at (800) 869-3326 or for account-related
concerns contact our Client Advocate at (866) 227-2256 or via U.S.
mail at P.0 Box 95002, South Jordan, Utah 84095.
Errors and inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re-confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Account Valuation
Account values are computed by adding (1) the market value of all
priced positions and (2) market values provided by pricing services
and/or outside custodians, as applicable for other positions, and by
adding any credit or subtracting any debit to your closing Cash, Money
Market Funds and/or Deposit balance. Cash, Deposits and Money
Market Funds are displayed on a settlement date basis, and other
positions are displayed in your account on a trade date basis. The
values of fixed income positions in summary displays include accrued
interest in the totals. In the "Holdings" section, fixed income market
value and accrued interest are also displayed in separate columns.
Accrued interest is the interest earned but not yet paid on the bond
since its last interest payment. In most cases, it is calculated from the
date of the last coupon payment (or "dated date") through the
closing date of the statement. Foreign Currency Deposits are reflected
in U.S. dollars as of the statement end date. The Annual Percentage
Yield (APY) for deposits represents the applicable rate in effect for your
deposits at the statement ending date. This APY may be different than
the APY that was in effect during the statement period. For current
Bank Deposit or Money Market Fund yields, go to
www. morga nsta n I ey. com/wea I th - i n vestmentstrateg i es/rate mo n i tor. htm I.
Additional Retirement Account Information
Tax-qualified account contributions are subject to IRS eligibility rules
and regulations. The Contributions information in this statement reflects
contributions for a particular account, without reference to any other
account. Check with your tax advisor to verify how much you can
contribute, if the contribution will be tax deductible, and if other special
rules apply (e g., to conversions/recharacterizations of Traditional to
Roth/Roth to Traditional IRAs). Tax reporting is provided for IRA, VIP
Basic and 403(b) accounts but not for VIP Plus and RPM accounts.
The account value used for your Required Minimum Distribution
calculation, if any, is based on the prior December 31st Account Value,
including accrued interest. Additionally, for IRAs (1) the "Max.
Individual Contributions Allowed (by SSN)” reflects the annual limit on
contributions that you can make to Traditional and Roth IRAs under
the Internal Revenue Code (this limit applies on a per person basis, not
per account; other rules apply to IRAs which are part of employer-
sponsored plans); (2) you cannot make an individual contribution to a
Traditional IRA for the year in which you reach age 70 1/2 or any later
year; and (3) the categorization of any contribution's deductibility is
based upon information provided by you. The information included in
this statement is not intended to constitute tax, legal or accounting
advice. Contact us if any of this information is incorrect.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Gain/(Loss) Information
Gain/(Loss) is provided for informational purposes. It is not a substitute
for Internal Revenue Service (IRS) Form 1099 (on which we report cost
basis for covered securities) or any other IRS tax form, and should not
be used for tax preparation. Unrealized Gain/(Loss) provided on this
statement is an estimate. Contact your own independent legal or tax
advisor to determine the appropriate use of the GainZ(Loss) information
on this statement. For more information, go to
www.morganstanley.com/wealth/disclosures/disclosures.asp, or call
Client Service Center.
Tax Reporting
Under Federal Income Tax law, we are required to report gross
proceeds of sales (including entering into short sales) on Form 1099-B
by February 15 of the year following the calendar year of the
transaction for reportable (i.e. non-retirement) accounts. For sales of
certain securities acquired on or after January 1, 2011 (or applicable
date for the type of security) we are also required to report cost basis
and holding period. Under Internal Revenue Service regulations, if you
have not provided us with a certification of either U.S. or foreign status
on applicable Form W-9 or W-8, your accounts may be subject to
either 28% back-up withholding or 30% nonresident alien withholding
on payments made to your accounts.
Investment Objectives
The following is an explanation of the investment objective alternatives
applicable to your account(s): Income - for investors seeking regular
income with low to moderate risk to principal; Capital Appreciation - for
investors seeking capital appreciation with moderate to high risk to
principal; Aggressive Income - for investors seeking higher returns either
as growth or as income with greater risk to principal; Speculation - for
investors seeking high profits or quick returns with considerable
possibility of losing most or all of their investment.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Customer(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral. The amount
you may borrow is based on the value of eligible securities in your
margin accounts. If a security has eligible shares the number of shares
pledged as collateral is indicated below the position. If you have a
margin account, as permitted by law, we may use certain securities in
your account for, among other things, settling short sales or lending the
securities for short sales, for which we may receive compensation.
Margin Interest Charges
We calculate interest charges on margin loans as follows; (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www morganstan I ey. com/on I ine/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
CONTINUED
FOIA Confidential Treatment Requested
MS-USAO-0017852
CLIENT STATEMENT I For the Period June 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH MAN AGE IV! ENT p aqe 3 0 f *30
Margin Account and Special Memorandum Account maintained for you
under Section 220,5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Money Market Fund (MMF) Pricing
An investment in a MMF is neither insured nor guaranteed by the
Federal Deposit Insurance Corporation (FDIC) or any other government
agency. Although MMFs seek to preserve the value of your investment
at $1,00 per share, there can be no assurance that will occur and it is
possible to lose money should the fund value per share fall. In some
circumstances MMFs may cease operations when the value of a fund
drops below $1.00 per share. In that event, the fund's holdings would
be liquidated and distributed to the fund's shareholders. This process
could take up to one month or more. During that time, these funds
would not be available to you to support purchases, withdrawals, and if
applicable, check writing or ATM debits from your account.
Notice Regarding Global Investment Manager Analysis
Morgan Stanley's Global Investment Manager Analysis team conducts
analysis on various mutual funds and exchange-traded funds for clients
holding those funds in certain investment advisory programs. If you
have invested in any of these funds in another type of account, such as
a brokerage account, you will not receive the same materials and status
updates on the funds as we provide to investment advisory clients
(including instructions on selling fund shares).
Pricing of Securities
The prices of securities are derived from various sources, and do not
necessarily represent the prices at which those securities could have
been bought or sold. Although we attempt to use reliable sources of
information, we can offer no assurance as to their accuracy. Prices of
securities not actively traded may not be available, and are indicated
by N/A (not available). For additional information on how we price
securities, go to
www.morganstanley.com/wealth/disclosures/disclosures.asp.
Important Information About Auction Rate Securities
For certain Auction Rate Securities there is no or limited liquidity.
Therefore, the price(s) for any Auction Rate Securities shown may not
reflect the price(s) you would receive upon a sale at auction or in a
secondary market transaction, and is not an indication of any offer to
purchase at such price. There can be no assurance that a successful
auction will occur or that a secondary market exists or will develop for
a particular security. The prices of any Auction Rate Securities in most
cases reflect par value, but may be derived from various sources. These
prices may differ from: prices provided to us or our affiliates by outside
pricing services; our affiliates' own internal bookkeeping valuations;
prices of transactions executed in any secondary market that exists or
may develop; and/or the prices at which issuer repurchases or
redemptions may occur.
Special Considerations Regarding Structured Investments
Structured Investments are complex products and may be subject to
special risks, which may include, but are not limited to: loss of initial
investment; issuer credit risk and price volatility resulting from any
actual or anticipated changes to issuer's and/or guarantor's credit
ratings or credit spreads; limited or no appreciation and limits on
participation in any appreciation of underlying asset(s); risks associated
with the underlying reference asset(s); no periodic payments; call prior
to maturity; early redemption fees for market linked deposits; lower
interest rates and/or yield compared to conventional debt with
comparable maturity; unique tax implications; limited or no secondary
market; and conflicts of interest due to affiliation, compensation or
other factors which could adversely affect market value or payout to
investors. Investors also should consider the concentration risk of
owning the related security and their total exposure to any underlying
asset. Structured Investments may not perform in a manner consistent
with the statement product category where they appear and therefore
may not satisfy portfolio asset allocation needs for that category.
Accrued interest, estimated annual income and current yield for
Structured Investments with a contingent income feature, including
Range Accrual Notes and Contingent Income Notes, assume optimal
performance of the underlying asset(s) and payment in full of all
contingent interest. However, contingent interest is only paid if the
specified accrual conditions are met during the relevant observation
period Actual accrued interest, annual income and yield will be
dependent upon the performance of the underlying asset(s) and may be
significantly lower than the estimates shown For more information
about the risks specific to your Structured Investments, you should
contact your Financial Advisor,
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
Si PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by Si PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Certain Assets Not Held at Morgan Stanley Smith Barney LLC
You may purchase certain assets through us that may be held at
another financial institution. Assets not held with us may not be
covered by SIPC protection. We may include information about certain
of these assets on this statement solely as a service to you and are not
responsible for any information provided by external sources. Generally,
any financial institution that holds securities is responsible for year-end
reporting (1099s) and separate periodic statements, which may vary
from our information due to different tax reporting periods. In the case
of networked mutual funds, we perform all year-end tax reporting.
Under certain circumstances, such as IRA accounts, we perform all tax
reporting.
Total Income
Total income, as used in the income summaries, represents dividends
and/or interest on securities we receive on your behalf and credit to
your account(s) during the calendar year. We report dividend
distributions and taxable bond interest credited to your account to the
Internal Revenue Service. The totals we report: may differ from those
indicated as "This Year" figures on the last statement for the calendar
year. In the case of Real Estate Investment Trusts (REITs), Master
Limited Partnerships, Regulated Investment Companies and Unit
Investment Trusts, some sponsors may reclassify the distribution to a
different tax type for year-end reporting.
Transaction Dates and Conditions
Transactions display trade date and settlement date. Transactions are
included on this statement on trade date basis (excluding BDP and
MMFs). Trades that have not settled as of statement month end will
also be displayed in the "Unsettled Purchases/Sales Activity" section.
Upon written request, we will give you the date and time of a
transaction and the name of the other party to a transaction. We and/or
our affiliates may accept benefits that constitute payment for order
flow. Details regarding these benefits and the source and amount of
any other remuneration received or to be received by us in connection
with any transaction will be furnished upon written request.
Tax arid Legal Disclosure
Morgan Stanley does not provide legal or tax advice. Please consult
your own tax advisor.
Revised 03/2015
FOIA Confidential Treatment Requested
MS-USAO-0017853
CLIENT STATEMENT I For the Period June 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 4 0 f *30
Active
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period
(6/1/15-6/30/15)
This Year
(1/1/15-6/30/15)
TOTAL BEGINNING VALUE
$334,949.23
$18,436,429.61
Credits
Debits
Security Transfers
Accrued Interest On Security Transfers
230,335.13
(218,192.85)
19,425,101.81
5,191,302.67
(5,287,305.51)
1,576,302.81
(519,225.00)
Net Credits/Debits/Transfers
$19,437,244.09
$961,074.97
Change in Value
(3,139,500.52)
(2,764,811.78)
TOTAL ENDING VALUE
$16,632,692.80
$16,632,692.80
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Cash, BDP, MMFs
Stocks
TOTAL VALUE
Market Value Percentage %
$97,093.33 0.6
16,535,599.47 _99.4_
$16,632,692.80 100.0%
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017854
CLIENT STATEMENT I For the Period June 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 5 0 f
Active
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 5/31/15)
This Period
(as of 6/30/15)
Cash, BDP, MMFs
Stocks
Net Unsettled Purchases/Sales
$334,949.23
250,000.00
(250,000.00)
$97,093.33
16,535,599.47
Total Assets
$334,949.23
$16,632,692.80
Total Liabilities (outstanding balance) — —
TOTAL VALUE
$334,949.23
$16,632,692.80
INCOME AND DISTRIBUTION SUMMARY
This Period
(6/1/15-6/30/15)
This Year
(1/1/15-6/30/15)
Interest
$1.82
$25.31
Total Taxable Income And Distributions
$1.82
$25.31
Total Tax-Exempt Income — —
TOTAL INCOME AND DISTRIBUTIONS
$1.82
$25.31
Taxable and tax exempt Income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
CASH FLOW
This Period
(6/1/15-6/30/15)
This Year
(1/1/15 6/30/15)
OPENING CASH, BDP, MMFs
$334,949.23
$460,642.76
Purchases
Sales and Redemptions
Prior Net Unsettled Purch/Sales
Income and Distributions
(250,000.00)
1.82
(942,761.13)
675,189.23
N/A
25.31
Total Investment Related Activity
$(249,998.18)
$(267,546.59)
Electronic Transfers-Credits
Electronic Transfers-Debits
Other Credits
Other Debits
230,335.13
(117,805.54)
5,003,922.63
(4,510,895.27)
187,380.04
(187,380.04)
Total Cash Related Activity
$112,529.59
$493,027.36
Debit Card
Checks Written
Automated Payments
(11,736.18)
(88,651.13)
(697.23)
(298,124.51)
(290,208.46)
Total Card/Check Activity
$(100,387.31)
$(589,030.20)
CLOSING CASH, BDP, MMFs
$97,093.33
$97,093.33
GAINZ(LOSS) SUMMARY
Realized This Period
(6/1/15-6/30/15)
Realized This Year
(1/1/15-6/30/15)
Unrealized
Inception to Date
(as of 6/30/15)
Short-Term Gain —
Short-Term (Loss) —
$4,231.79
(13,136.62)
—
Total Short-Term —
$(8,904.83)
—
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to GainZ(Loss) in the Expanded Disclosures.
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
FOIA Confidential Treatment Requested
MS-USAO-0017855
CLIENT STATEMENT I For the Period June 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe e 0 f *30
Active
Investment Objectives?: Capital Appreciation, Aggressive income Brokerage Account
t Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis. "Market Value" and "Unrealized Gain/(Loss)" may not reflect the value that could be obtained in the market. Fixed Income securities are
sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income a) is calculated on a pre-tax basis, b) does not include any reduction for applicable non-US withholding taxes,
c) may include return of principal or capital gains which could overstate such estimates, and d) for securities that have a defined maturity date within the next 12 months, is reflected only through maturity date.
Actual income or yield may be lower or higher than the estimates. Current yield reflects the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column , appear in various statement product categories. When displayed, accrued interest, annual income and current yield for structured products with a contingent income feature (such
as Range Accrual Notes or contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest For Floating Rate
Securities, the accrued interest, annual income and current yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market
fund balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
Market Value
7-Day
Current Yield %
Est Ann Income APY%
MORGAN STANLEY BANK N A. #
$97,093.26
— $19.00 0 020
MORGAN STANLEY PRIVATE BANK NA #
0.07
— — 0.020
BANK DEPOSITS
$97,093.33
$19.00
Percentage
Est Ann Income
of Assets
Market Value
Accrued Interest
CASH, BDP, AND MMFs
0.6%
$97,093.33
$19.00
$0.00
bank and FDIC member.
STOCKS
COMMON STOCKS
Unrealized Current
Security Description _ Trade Date _ Quantity Unit Cost Share Price _ Total Cost _ Market Value _ Gain/(Loss) _ Est Ann Income Yield %
CODE REBEL CORF COM RST — 510,831.000 — $32,370 Please Provide $16,535,599.47 N/A — —
In Safekeeping: 510,831000
FOIA Confidential Treatment Requested
MS-USAO-0017856
CLIENT STATEMENT I For the Period June 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 7 0 f *30
Percentage
of Assets
Total Cost
Market Value
Unrealized
Gain/(Loss)
Est Ann Income Current
Accrued Interest Yield %
STOCKS
99.4%
$ 0.00
$16,535,599.47
$0.00 ST
$ 0.00
$ 0.00
Percentage
of Assets
Total Cost
Unrealized
Gain/l
Est Ann Income
Accrued Interest
Current
Yield %
TOTAL MARKET VALUE
$ 0.00
TOTAL VALUE (includes accrued interest)
100 . 0 %
$16,632,692.80
$16,632,692.80
$0.00 ST
$19.00
$ 0.00
Unrealized GainZ(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash , MMF, Deposits and positions stating 'Please Provide' are not included.
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/fDebits)
5/28
6/4
Cancel Buy
JPMORGAN CHASE & CO 6.1%-AA
ACTED AS PRINCIPAL
10 ,000.000
$25.0000
$250,000.00
5/28
6/4
Bought
JPMORGAN CHASE & CO 6.1%-AA
ACTED AS PRINCIPAL
10 ,000.000
25.0000
(250,000.00)
6/1
6/1
Automated Payment
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
(3,000.00)
6/4
6/4
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(37,336 93)
6/4
6/4
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(1,437.88)
6/4
6/4
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 37384357
TO 654-028322
(100 00)
6/5
6/5
Automated Payment
J CONDOMINIUM SO 1010888706
AUTOMATIC BILL PAYMENT
(906.74)
6/8
6/8
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 37464968
60,000.00
FROM 654-031879
6/8
6/8
Funds Transferred
WIRED FUNDS SENT
BENE: ROSEMONT PROPERTY MANAGE
ACCT: XXXX5149
(20,000.00)
6/8
6/8
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(15,000.00)
6/9
6/9
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
3,668.47
6/9
6/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326.48)
6/10
6/10
Funds Transferred
WIRED FUNDS SENT
BENE: MCG AUTOMOTIVE LLC
ACCT: XXXXXX0802
(1,400.00)
6/15
6/15
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 37683979
TO 654-028322
(100.00)
FOIA Confidential Treatment Requested
MS-USAO-0017857
CLIENT STATEMENT I For the Period June 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe g 0 f *30
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pfc Oivlitiw^ , X , v/////X # X , Xv/Xv/Xv/Xv)
w * » Mm 00000000000000000000000000000
0 0 0 9 0 9 9 0 0 0 0 M 009000900009000000000000009000000000009090
0090900000 a # ** frt « fr *«* r >»» riafria « r >»» r * a » rirfrirff *
vi «* fi »«* if *«« r » v ( r » r * r « v < r « v ( r « f < rrr « rrr « rfr « f * r « r * r «
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/////»///////»///»///////////.
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date Date Activity Type Description
Comments
Quantity
Price
Credits/CDebits)
6/15
6/15
Funds Transferred
WIRED FUNDS SENT
BENE: FIRST CLEARING LLC
ACCT: XXXXXX3377
(3,668.47)
6/19
Check
MARK AM Ml RATI
Check# 1146
(5,868 09)
6/18
6/18
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
83,333.33
BURISMA HOLDINGS LIMITED
6/19
6/19
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
6/19
6/24
Check
MARK AM Ml RATI
Check #1145
(5,868 09)
6/23
6/23
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(15,000 00)
6/24
6/24
Funds Transferred
WIRED FUNDS SENT
BENE: CALIBER HOME LOANS
ACCT: XXXXXX3793
(30,753.01)
6/26
6/26
Funds Transferred
WIRED FUNDS SENT
BENE: TE SYSTEMS INC.
ACCT: XXXXXX0114
(9,284.06)
6/29
6/29
Funds Transferred
WIRED FUNDS SENT
BENE: RONTEKS EXPORT LP
ACCT: XXXXXXXXXXXXXXXXX6851
(22,500 00)
6/30
6/30
Interest Income
MORGAN STANLEY BANK N.A.
(Period 06/01 -06/30)
1,75
6/30
6/30
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 06/01 -06/30)
0,07
6/30
6/30
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(41,605.10)
6/30
6/30
Automated Payment
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
(3,000 00)
6/30
6/30
Automated Payment
AMEX EPayment ACH PMT
> # X # X # X®X # X , ;®X®X # X # X®XS # X # X®X*XVX # X®XVX , X , X # X , ;®X # X # X # X # X # X t XVX # X # X # X # X # X # X*X # X # X , X*X*X i X # X*X*X i i # XS # ; # ; # .
AUTOMATIC BILL PAYMENT
(38,00)
NET CREDITSZ(DEBITS)
$12,144.10
Purchase and Sale transactions above may have received an average price execution. Details regarding the actual prices are available upon request.
DEBIT CARD & CHECKING ACTIVITY
CHECKS WRITTEN
Date
Written
Date
Paid
Check Number
Activity Type
Payee
Expense Category
Credits/(Dehits)
6/19
6/24
1145
Check
MARK AMMIRATI
$(5,868.09)
6/17
6/19
1146
Check
MARK AMMIRATI
(5,868.09)
TOTAL CHECKS WRITTEN $(11,736.18)
FOIA Confidential Treatment Requested
MS-USAO-0017858
CLIENT STATEMENT I For the Period June 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 9 0 f *30
Vr'rVr
v/,v.
00000090009000900090009000990090009000900
00000000000000000000000000000000000000000
000*00000000000000000000000*0000000000000
99999999999999999999999999999999999999999
99999999999999999999999999999999999999999
99999*099*099*099999999999999999999999999
09090909990999090999999909099909999999099
00900009000000099009900090009009900999990
00900090009000900090009000900090009000900
90990009009900090009000900090009900000990
00009000000000009000900000009009900000000
0 0000000000000000000000000000000000000^
0 >< W * 00000090000000000000000000090 9 0 0 0 0
0 VWr 09900990099909990090099009900 Bf 0 0 0 0 0
9 MB 99099900990990090099009900990 0 0 0 0 0
00000000000000000000000000000000000000000
00000000000000000000000000009000000000000
90909099999090909090909009900090009009909
00000000000000900090000000000009000000000
00099009909090909090090090999900990909090
00000000000000000000000000000000000000000
90009000000000000000000000000000000000000
0000000000000000000000000000000000000000000000000000000
000000000000000000000000000000000000000000000000000000
9000990099009900900090009000900090009000900090009000900
0000000000000000000000000000000000000000000000000900000
000000000000000000000000000000000000000000000000000000
0000900090900000000000000900000000000000090009000900000
990099009900990099009900990099009900990099009900990009
0000000000000000000000000000090009000000000000000000000
0000000000009000000000000000000000000000000000000000000
0900090009000900090009000900090009000900090009000 9 0 0 0 9 0 0
0000090000000000000000000000000000000000000000000900000
90900009000000900009000000900090090000900900009009909090
0000000900000000 0^0 0900000000000009000900000000000
0 9 0 0 9 9 # r 0 0 0 0 0 9 0 0990090009000900090090000000000
• ^B • O VM * 0 0 0 *^B » «B * ^B » 0 009000000000000000090000000900900090000000909
0 • • inn 9 0 0 0 » bv 0 Hf 00000000000000000000000000000000009900900000009
0 9 0 0 0 . » i'f • > * * 9 0 0 0 0 0 0 0 0 » f > 0 9 0 0 0 9 0 0 • 0 0 W t~0 0 0 0 0000000 _
0 9 0 0 0 9 0 9 0 9 0 0 0 0 0990090009000990099009000900090
9 0 ■ 9 0 9 0 0 0000000000 B 0000000000000000000000000000000
0 0 0 ^B 0 r ^ na .> 9 0 0000000000000000000000000000000
0 0 0 IfV * tC r 0 KW 0000000000000000000000000000000
0 9 0 rB 0 r f > • IrfW 9 n 9 ^B • 9 ^B 9990099000909990099000000900090
0 0 9 M M * ^B 0 0 ^ 0 0 >B 0 B 0000000000000000000000000000000
000 B f ' ^B 0 000000000000000000000000000000
0 9 0 MB ft • dVPr 0 0990099009000900090009900900090
0 0 0 000 rB 0 0 Br ^B 0 B 0000000090000000000000000000000
0 9 9 ^B 9 ^B • 0 1 ’ ■> 0 ^B 0 ^B 9 H 0 9 B 0000000000000000000000000000000
^f^. 9 .^y^ff. 9 W^m^^.l^9 , ^0 9 . r 0 9 0 9 0 9 . f 0 9 . W 0 9 . r 0 9 0 9 0 9 . 9 0 t 0 , 0 9 9 9 0 r . t 0 W 9 9 0 9 . t 0 9 . 9 0 9 0 9 0 W . t 0*
mmmMmmmmmmrnmm
00000000000000000000000000000000000000000000000000000000000000000000000
09000999099009090900000000000090009000000090000000900090009000000000009%
09000900090009000000009009000000000009000900000000000000090000090000000
0900090009000900090009900900000009000900090009000900090
00000000000000009000000000000000090000000000000000009000
0000000009000000000000000000000000000000000000000000000
00000900000000000900090009000900090009000900000009000900
9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0* 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0* 0 9 0 9 0 9 0* 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9 0 9
0900090009000900090009000900090009000900090009000900090
9 9 9 p0 9 * J 00 000 9 0* 00 00 0000 0 9 00 0000 00 00 0000 0 9 00 0 9 *9 00 00 0 9 00 0 9 0 9 0 9 00 00 0 9 0 9 00 0 9 0 9 0 9 0 9 0000 000 9 0000000 9 0000 0000 000000
00000000000000000900000000000000000000000000000000000000000000000000000
09000009000000000090000000000090009000900090009000900090009000000090090 \
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
Bill pay and other electronic activity , which may include checks you wrote that were processed by Automated Clearing House processing.
Date off Date
Payment Paid Activity Type Payee
Credits/(Debits)
6/1
6/1
Automated Payment
BANK OF AMERICA ONLINE PMT
$(3,000.00)
6/4
6/4
Automated Payment
AMEX EPayment ACH PMT
(37,336.93)
6/4
6/4
Automated Payment
AMEX EPayment ACH PMT
(1,437.88)
6/5
6/5
Automated Payment
J CONDOMINIUM SO 1010888706
(906.74)
6/9
6/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
6/30
■Kftgrnj
Automated Payment
AMEX EPayment ACH PMT
(41,605.10)
6/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
6/30
Automated Payment
AMEX EPayment ACH PMT
TOTAL AUTOMATED PAYMENTS
$(88,651.13)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date
Activity Type
Description
CreditsZ(Debits)
6/1
Automatic Redemption
BANK DEPOSIT PROGRAM
$(3,000 00)
6/4
Automatic Redemption
BANK DEPOSIT PROGRAM
(288,774.81)
6/5
Automatic Redemption
BANK DEPOSIT PROGRAM
(1,006.74)
6/9
Automatic Investment
BANK DEPOSIT PROGRAM
23,673.52
6/10
Automatic Investment
BANK DEPOSIT PROGRAM
3,668,47
6/11
Automatic Redemption
BANK DEPOSIT PROGRAM
(1,400.00)
6/16
Automatic Redemption
BANK DEPOSIT PROGRAM
(3,768 47)
6/19
Automatic Investment
BANK DEPOSIT PROGRAM
160,798.57
6/24
Automatic Redemption
BANK DEPOSIT PROGRAM
(20,868 09)
6/25
Automatic Redemption
BANK DEPOSIT PROGRAM
(30,753,01)
6/29
Automatic Redemption
BANK DEPOSIT PROGRAM
(9,284,06)
6/30
Automatic Investment
BANK DEPOSIT PROGRAM
1.75
6/30
Automatic Investment
BANK DEPOSIT PROGRAM
0,07
6/30
Automatic Redemption
BANK DEPOSIT PROGRAM
(67,143 10)
NET ACTIVITY FOR PERIOD
$(237,855.90)
FOIA Confidential Treatment Requested
MS-USAO-0017859
Morgan Stanley
CLIENT STATEMENT I For the Period June 1 -30, 201 5 PRIVATE WEALTH MANAGEMENT Page 10 of 10
TRANSFERS, CORPORATE ACTIONS AND ADDITIONAL ACTIVITY
SECURITY TRANSFERS
Pat® Activity Type Security (Symbol) Comments _ Quantity Accrued Interest Amount
6/10 Transfer into Account _ COPE REBEL CQRP COM RST _ 510,831.000 _ $19,672,101.81
6/25 Transfer out of Account JPMORGAN CHASE & CO 6.1%-AA PER VERBAL 10,000.000 (247,000.00)
INSTRUCTIONS
TO 654-031879-000 AO
_ 06/25/15 _
TOTAL SECURITY TRANSFERS $19,425,101.81
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
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Bank Deposit Program Fee Changes
Effective July 1, 2015, the calculation of the fee that Morgan Stanley Bank, N.A. and Morgan Stanley Private Bank, National Association (together, "the Morgan Stanley Banks") pay Morgan Stanley Smith Barney
LLC ("Morgan Stanley") for the services it performs as part of the Bank Deposit Program ("BDP") will change. Previously this fee was equal to a percentage of the average daily deposit balances held in BDP at
Morgan Stanley. Beginning July 1, 2015, the Morgan Stanley Banks will pay Morgan Stanley an annual account-based fiat fee.
For additional information on BDP, including complete details on how the Morgan Stanley Banks pay Morgan Stanley, please review the Bank Deposit Program Disclosure Statement at
http://www.morganstanley.com/wealth-investmentstrategies/pdf/BDP_disclosure.pdf
If you have any questions, please do not hesitate to contact your Financial Advisor or Private Wealth Advisor.
Morgan Stanley Smith Barney LLC ("Morgan Stanley”) is a registered Broker/Dealer and not a bank. Where appropriate, Morgan Stanley has entered into arrangements with banks and other third parties to assist in
offering certain banking related products and services. Investment services are offered through Morgan Stanley.
Unless specifically disclosed in writing, investment, insurance and annuity products offered through Morgan Stanley are not insured by the FDIC, are not deposits or other obligations of, or guaranteed by, a bank and
involve investment risks, including possible loss of principal amount invested.
important Information about Free Credit Balances and Sweep Programs
Recently the SEC amended rules regarding the treatment of free credit balances and sweep programs for money market funds and bank deposits. In accordance with these rule amendments, Morgan Stanley may, after
providing you with 30 day notice: (A) make changes to the terms and conditions of our sweep program; (B) make changes to the terms and conditions of a product currently available through our sweep program; (C)
change, add or delete products available through our sweep program; or (D) change your investment through the sweep program from one product to another.
Please contact your Financial Advisor or Private Wealth Advisor if you have any questions.
FOIA Confidential Treatment Requested
MS-USAO-0017860
CLIENT STATEMENT I For the Period July 1 -31, 2015
STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 7/31/15) $3,616,716.54
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
Access Your Account Online: www.morganstanley.com/PWM
654-031823 -041 -1 -0
MS-USAO-0017861
Morgan Stanley
CLIENT STATEMENT I For the Period July 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 2 of 8
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Products may not perform in a manner consistent with the
statement product category in which they appear and therefore may not
satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody's investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 01/2015
FOIA Confidential Treatment Requested
MS-USAO-0017862
Morgan Stanley
CLIENT STATEMENT I For the Period July 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 3 of 8
Active
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period
(7/1/15-7/31/15)
This Year
(1/1/15-7/31/15)
TOTAL BEGINNING VALUE
$16,632,692.80
$18,436,429.61
Credits
Debits
Security Transfers
Accrued Interest On Security Transfers
369,541.19
(395,086.24)
5,560,843.86
(5,682,391.75)
1,576,302.81
(519,225.00)
Net Credits/Debits/Transfers
$(25,545.05)
$935,529.92
Change in Value
(12,990,431.21)
(15,755,242.99)
TOTAL ENDING VALUE
$3,616,716.54
$3,616,716.54
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Stocks
Cash, BDP, MMFs
Stocks
TOTAL VALUE
Market Value Percentage %
$71,549.40 2.0
3,545,167.14 _98.0_
$3,616,716.54 100.0%
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017863
Morgan Stanley
CLIENT STATEMENT I For the Period July 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 4 of 8
Active
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 6/30/15)
This Period
(as of 7/31/15)
Cash, BDP, MMFs
Stocks
$97,093.33
16,535,599.47
$71,549.40
3,545,167.14
Total Assets
$16,632,692.80
$3,616,716.54
Total Liabilities (outstanding balance) — —
TOTAL VALUE
$16,632,692.80
$3,616,716.54
INCOME AND DISTRIBUTION SUMMARY
This Period
(7/1/15-7/31/15)
This Year
(1/1/15-7/31/15)
Interest
$1.12
$26.43
Total Taxable Income And Distributions
$1.12
$26.43
Total Tax-Exempt Income — —
TOTAL INCOME AND DISTRIBUTIONS
$1.12
$26.43
Taxable and tax exempt Income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
CASH FLOW
This Period
(7/1/15-7/31/15)
This Year
(1/1/15 7/31/15)
OPENING CASH, BDP, MMFs
$97,093.33
$460,642.76
Purchases
Sales and Redemptions
Income and Distributions
1.12
(942,761.13)
675,189.23
26.43
Total Investment Related Activity
$1.12
$(267,545.47)
Checks Deposited
Electronic Transfers-Credits
Electronic Transfers-Debits
Other Credits
Other Debits
9,320.00
360,221.19
(319,059.00)
9,320.00
5,364,143.82
(4,829,954.27)
187,380.04
(187,380.04)
Total Cash Related Activity
$50,482.19
$543,509.55
Debit Card
Checks Written
Automated Payments
(76,027.24)
(697.23)
(298,124.51)
(366,235.70)
Total Card/Check Activity
$(76,027.24)
$(665,057.44)
CLOSING CASH, BDP, MMFs
$71,549.40
$71,549.40
GAINZ(LOSS) SUMMARY
Realized This Period
(7/1/15-7/31/15)
Realized This Year
(1/1/15-7/31/15)
Unrealized
Inception to Date
(as of 7/31/15)
Short-Term Gain —
Short-Term (Loss) —
$4,231.79
(13,136.62)
—
Total Short-Term —
$(8,904.83)
—
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to GainZ(Loss) in the Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017864
Morgan Stanley
CLIENT STATEMENT I For the Period July 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 5 of 8
Active
Investment Objectives?: Capital Appreciation, Aggressive income Brokerage Account
f Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis. ”,Market Value" and "Unrealized Gain/(Loss)" may not reflect the value that could be obtained in the market Fixed Income securities are
sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income a) is calculated on a pre-tax basis, b) does not include any reduction for applicable non-US withholding taxes,
c) may include return of principal or capita! gains which could overstate such estimates, and d) for securities that have a defined maturity date within the next 12 months, is reflected only through maturity date.
Actual income or yield may be lower or higher than the estimates. Current yield reflects the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. When displayed, accrued interest, annual income and current yield for structured products with a contingent income feature (such
as Range Accrual Notes or contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate
Securities, the accrued interest, annual income and current yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market
fund balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description _
MORGAN STANLEY BANK N.A. #
7-Day
Market Value Current Yield %
$71,549.40 —
Est Ann Income APY%
$7.00 0.010
Percentage
of Assets Market Value Est Ann Income
CASH, BDP, AND MMFs
2 . 0 %
$71,549.40
$7.00
# Bank Deposits are held at Morgan Stanley Bank, N.A. and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC and each a national bank and FDIC member.
STOCKS
COMMON STOCKS
Security Description _
CODE REBEL CORP COM RST
In Safekeeping: 510,831000
Trade Date
Quantity
Unit Cost Share Price
Total Cost
Market Value
Unrealized
Gain/(Loss)
Current
Est Ann Income Yield %
510,831.000
$6,940
Please Provide
$3,545,167.14
N/A
STOCKS
Percentage
of Assets
98.0%
Total Cost _ Market Value
$0.00 $3,545,167.14
Unrealized
Gain/(Loss)
$0.00 ST
Current
Est Ann Income Yield %
$ 0.00 —
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Morgan Stanley
CLIENT STATEMENT I For the Period July 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 6 of 8
Percentage Unrealized Est Ann Income Current
__ofAsset s Total Cost Market Value Gain/(Loss) Accrued Interest Yield %
TOTAL MARKET VALUE $0.00 $3,616,716.54 $0.00 ST $7.00 -
$ 0.00
TOTAL VALUE (includes accrued interest) 100.0% $3,616,716.54
Unrealized Gain/(Loss) totals only reflect positions that have both cost basis and market value information available. Cash , MMF, Deposits and positions stating Please Provide' are not included.
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Dehits)
7/1
7/1
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 38505639
$63,000.00
FROM 654-031879
7/2
7/2
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 38612862
TO 654 032275
(125,000.00)
7/2
7/2
Funds Transferred
WIRED FUNDS SENT
BENE: WELLS FARGO ADVISORS
ACCT: XXXXXX5142
(5,000.00)
7/6
7/6
Automated Payment
J CONDOMINIUM SO 1010888706
AUTOMATIC BILL PAYMENT
(906,74)
7/9
7/9
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 38895019
FROM 654-031879
20 ,000.00
7/9
7/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326 48)
7/9
7/9
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(20,000,00)
7/16
7/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
7/16
7/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
7/16
7/16
Funds Transferred
WIRED FUNDS SENT
BENE: THE WOLFF LAW FIRM TRUST
ACCT: XXXXXX8399
(6,580,00)
7/17
7/17
Check Deposit
FUNDS RECEIVED
9,320.00
7/17
7/17
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(70,794.02)
7/17
7/17
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(19,000,00)
7/24
7/24
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 39721486
50,000.00
FROM 654-031879
7/24
7/24
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX8378
(97,979,00)
7/24
7/24
Funds Transferred
WIRED FUNDS SENT
BENE: PERSHING LLC
(20,000.00)
ACCT: XXXXXX2385
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Morgan Stanley
CLIENT STATEMENT I For the Period July 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 7 of 8
Active
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
7/28
7/28
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
60,554.53
7/30
7/30
Automated Payment
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
(3,000.00)
7/30
7/30
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(14,000 00)
7/30
7/30
Funds Transferred
WIRED FUNDS SENT
BENE: MCG AUTOMOTIVE LLC
ACCT: XXXXXX0802
(1,500,00)
7/30
7/30
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 40013543
TO 654-031822
(10,000 00)
7/31
7/31
Interest Income
MORGAN STANLEY BANK N.A.
1.12
(Period 07/01-07/31)
NET CREDITS/(DEBIT$) $(25,543.93)
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
Bil! pay and other electronic activity , which may include checks you wrote that were processed by Automated Clearing House processing.
Date off
Payment
Date
Paid
Activity Type
Payee
Credits/(Debits)
7/6
7/6
Automated Payment
J CONDOMINIUM SO 1010888706
$(906.74)
7/9
7/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
7/17
7/17
Automated Payment
AMEX EPayment ACH PMT
(70,794.02)
7/30
7/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
TOTAL AUTOMATED PAYMENTS $(76,027.24)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date
Activity Type
Description
Credits/(Debits)
7/2
Automatic Redemption
BANK DEPOSIT PROGRAM
$(62,000,00)
7/6
Automatic Redemption
BANK DEPOSIT PROGRAM
(5,906 74)
7/9
Automatic Investment
BANK DEPOSIT PROGRAM
18,673.52
7/10
Automatic Redemption
BANK DEPOSIT PROGRAM
(20,000,00)
7/16
Automatic Investment
BANK DEPOSIT PROGRAM
166,666.66
7/17
Automatic Redemption
BANK DEPOSIT PROGRAM
(77,374 02)
7/20
Automatic Redemption
BANK DEPOSIT PROGRAM
(9,680.00)
7/27
Automatic Redemption
BANK DEPOSIT PROGRAM
(67,979.00)
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Morgan Stanley
CLIENT STATEMENT I For the Period July 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 8 of 8
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY (CONTINUED)
Date Activity Type
Description
CreditsZ(Debits)
7/28 Automatic Investment
BANK DEPOSIT PROGRAM
60,554.53
7/30 Automatic Redemption
BANK DEPOSIT PROGRAM
(28,500 00)
7/31 Automatic Investment
BANK DEPOSIT PROGRAM
1.12
NET ACTIVITY FOR PERIOD
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
$(25,543.93)
LOUIS PLUNG AND COMPANY, LLP
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CLIENT STATEMENT I For the Period August 1 -31, 2015
STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 8/31/15) $7,431,272.65
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
Access Your Account Online: www.morganstanley.com/PWM
654-031823 -041 -1 -0
MS-USAO-0017869
Morgan Stanley
CLIENT STATEMENT I For the Period August 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 2 of 10
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Products
Structured Products are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Products may not perform in a manner consistent with the
statement product category in which they appear and therefore may not
satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody's investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 01/2015
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Morgan Stanley
CLIENT STATEMENT I For the Period August 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 3 of 10
Active
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period
(8/1/15-8/31/15)
This Year
(1/1/15-8/31/15)
TOTAL BEGINNING VALUE
$3,616,716.54
$18,436,429.61
Credits
Debits
Security Transfers
Accrued Interest On Security Transfers
413,128.52
(358,289.94)
5,973,972.38
(6,040,681.69)
1,576,302.81
(519,225.00)
Net Credits/Debits/Transfers
$54,838.58
$990,368.50
Change in Value
3,759,717.53
(11,995,525.46)
TOTAL ENDING VALUE
$7,431,272.65
$7,431,272.65
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
Total Market Value -Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ALLOCATION OF HOLDINGS
Stocks
Cash, BDP, MMFs
Stocks
TOTAL VALUE
Market Value Percentage %
$126,389.35 1.7
7,304,883.30 _98.3_
$7,431,272.65 100.0%
This allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and MMF balances. These classifications are not intended to serve as a suitability analysis. * FDIC rules apply and Bank
Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
FOIA Confidential Treatment Requested
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Morgan Stanley
CLIENT STATEMENT I For the Period August 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 4 of 10
Active
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 7/31/15)
This Period
(as of 8/31/15)
Cash, BDP, MMFs
Stocks
$71,549.40
3,545,167.14
$126,389.35
7,304,883.30
Total Assets
$3,616,716.54
$7,431,272.65
Total Liabilities (outstanding balance) — —
TOTAL VALUE
$3,616,716.54
$7,431,272.65
INCOME AND DISTRIBUTION SUMMARY
This Period
This Year
(8/1/15-8/31/15)
(1/1/15-8/31/15)
Interest
$1.37
$27.80
Total Taxable Income And Distributions
$1.37
$27.80
Total Tax-Exempt Income — —
TOTAL INCOME AND DISTRIBUTIONS
$1.37
$27.80
Taxable and tax exempt Income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
CASH FLOW
This Period
(8/1/15-8/31/15)
This Year
(1/1/15 8/31/15)
OPENING CASH, BDP, MMFs
$71,549.40
$460,642.76
Purchases
Sales and Redemptions
Income and Distributions
1.37
(942,761.13)
675,189.23
27.80
Total Investment Related Activity
$1.37
$(267,544.10)
Checks Deposited
Electronic Transfers-Credits
Electronic Transfers-Debits
Other Credits
Other Debits
413,128.52
(292,796.00)
9,320.00
5,777,272.34
(5,122,750.27)
187,380.04
(187,380.04)
Total Cash Related Activity
$120,332.52
$663,842.07
Debit Card
Checks Written
Automated Payments
(9,453.69)
(56,040.25)
(697.23)
(307,578.20)
(422,275.95)
Total Card/Check Activity
$(65,493.94)
$(730,551.38)
CLOSING CASH, BDP, MMFs
$126,389.35
$126,389.35
GAINZ(LOSS) SUMMARY
Realized This Period
(8/1/15-8/31/15)
Realized This Year
(1/1/15-8/31/15)
Unrealized
Inception to Date
(as of 8/31/15)
Short-Term Gain —
Short-Term (Loss) —
$4,231.79
(13,136.62)
—
Total Short-Term —
$(8,904.83)
—
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to GainZ(Loss) in the Expanded Disclosures.
FOIA Confidential Treatment Requested
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Morgan Stanley
CLIENT STATEMENT I For the Period August 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 5 of 10
Active
Investment Objectives?: Capital Appreciation, Aggressive income Brokerage Account
f Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis. ”,Market Value" and "Unrealized Gain/(Loss)" may not reflect the value that could be obtained in the market Fixed Income securities are
sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income a) is calculated on a pre-tax basis, b) does not include any reduction for applicable non-US withholding taxes,
c) may include return of principal or capita! gains which could overstate such estimates, and d) for securities that have a defined maturity date within the next 12 months, is reflected only through maturity date.
Actual income or yield may be lower or higher than the estimates. Current yield reflects the income generated by an investment, and does not reflect changes in its price. Structured products, identified in the
Security Description column, appear in various statement product categories. When displayed, accrued interest, annual income and current yield for structured products with a contingent income feature (such
as Range Accrual Notes or contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate
Securities, the accrued interest, annual income and current yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market
fund balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description
Market Value
7-Day
Current Yield %
Est Ann Income APY%
MORGAN STANLEY BANK N A #
MORGAN STANLEY PRIVATE BANK NA #
$126,389.26
0.09
$13.00 0.010
— 0.010
BANK DEPOSITS
$126,389.35
$13.00
Percentage
of Assets
Market Value
Est Ann Income
CASH, BDP, AM) MMFs
1.7%
$126,389.35
$13.00
# Bank Deposits are held at Morgan Stanley Bank, N.A. and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC and each a national bank and FDIC member.
STOCKS
COMMON STOCKS
Security Description
Trade Date
Quantity
Unit Cost Share Price
Total Cost
Market Value
Unrealized
GainZ(Loss)
Current
Est Ann Income Yield %
CODE REBEL CORP COM RST
In Safekeeping: 510,831.000
510,831.000
$14 300
Please Provide
$7,304,883.30
N/A
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CLIENT STATEMENT I For the Period August 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 6 of 10
Percentage
of Assets
Total Cost
Market Value
Unrealized
Gain/(Loss)
Current
Est Ann Income Yield %
STOCKS
98.3%
$ 0.00
$7,304,883.30
$0.00 ST
$ 0.00
Percentage
of Assets
Total Cost
Unrealized
Gain/l
Est Ann Income Current
Accrued Interest Yield %
TOTAL MARKET VALUE
$ 0.00
$7,431,272.65
$0.00 ST
TOTAL VALUE (includes accrued interest)
100 . 0 %
$7,431,272.65
Unrealized Gain/(Loss) totals only reflect positions that have both cost basis and market value information available. Cash , MMF, Deposits and positions stating 'Please Provide' are not included.
ACTIVITY
CASH FLOW ACTIVITY BY DATE
$13.00
$ 0.00
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/fDebits)
8/3
8/3
Funds Transferred
WIRED FUNDS SENT
BENE: OWASCO PC
ACCT: XXXXXX5142
$(5,000 00)
8/3
8/3
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 40364817
TO 654-028322
(126.80)
8/4
8/4
Funds Received
WIRED FUNDS RECEIVED
UBS AG
1/VALORLIFE LEBENSVERSICHERUNG
7,645.30
8/5
8/5
Automated Payment
J CONDOMINIUM SO 1010888706
AUTOMATIC BILL PAYMENT
(906.74)
8/6
8/6
Funds Transferred
WIRED FUNDS SENT
BENE: STEVE ARCURI
ACCT: XXXXX3630
(2,500.00)
8/10
8/10
Funds Transferred
WIRED FUNDS SENT
BENE: MAGZHAN KENESBAI
ACCT: XXXXXX5007
(800.00)
8/11
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326 48)
8/13
8/13
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(19,000.00)
8/19
i/19
8/19
8/19
1/19
8/19
8/19
8/19
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
83,333.33
3,333.33
(36,423.18)
(76.26)
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CLIENT STATEMENT I For the Period August 1 -31, 2015
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date _ Date Activity T
8/21 8/21 Funds Received
Description
WIRED FUNDS RECEIVED
8/21
8/21
Online Transfer
FUNDS TRANSFERRED
8/24
8/24
8/24
8
8
8/24
Check
Check
Funds Transferred
LOUIS PLUM & CO
MARK A
WIRED FUNDS SENT
8/24
8/24
Funds Transferred
WIRED FUNDS SENT
8/25
8/25
Online Transfer
FUNDS TRANSFERRED
8/25
8/25
Online Transfer
FUNDS TRANSFERRED
8/25 8/25 Online Transfer FUNDS TRANSFERRED
8/26 8/26 Funds Transferred WIRED FUNDS SENT
8/26 8/26 Funds Transferred WIRED FUNDS SENT
8/28 8/28 Automated Payment Maritime Sea Ins Insurance _
MORGAN STANLEY BANK N.A.
(Period 08/01-08/31) _
MORGAN STANLEY PRIVATE BANK NA
(Period 08/01-08/31) _
AMEX EPayment ACH PMT _
BANK OF AMERICA ONLINE PMT
WIRED FUNDS SENT
NET CREDITS/(DEBITS)
FOIA Confidential Treatment Requested
Comments
CENTURY BANK
ROSEMONT PROPERTY MGT LLC
CONFIRMATION # 40964826
TO 654-028322
Check #1117
Check# 1047
BENE: BGW CONSULTING CORP, INC
ACCT: XXXXXXXX2981
BENE: O.G. DESIGNS
ACCT: XXXXXX6758
CONFIRMATION # 41060936
FROM 654-031822
CONFIRMATION # 41060827
FROM 654-028322
CONFIRMATION # 41060876
TO 654-031822
BENE: MFTCG HOLDINGS LLC BIDEN
ACCT: XXXXXXXX2092
BENE: STEVE ARCURI
ACCT: XXXXX3630
AUTOMATIC BILL PAYMENT
(7,500.00)
(1,953.69)
(40,000 00)
(8,302 50)
50,000.00
200.00
(50,000 00)
(150,000.00)
(3,000.00)
MS-USAO-0017875
Morgan Stanley
CLIENT STATEMENT I For the Period August 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 8 of 10
Active
DEBIT CARD & CHECKING ACTIVITY
CHECKS WRITTEN
Date
Written
Date
Paid
Check Number
Activity Type
Payee
Expense Category
CreditsZ(Debits)
8/24
8/25
1047
Check
MARK A
$(1,953.69)
8/24
8/27
1117
Check
LOUIS PLUM & CO
(7,500.00)
TOTAL CHECKS WRITTEN
$(9,453.69)
AUTOMATED PAYMENTS
Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Payment
Date
Paid
Activity Type
Payee
Credits/(Debits)
8/5
8/5
Automated Payment
J CONDOMINIUM SO 1010888706
$(906.74)
8/11
8/11
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326 48)
8/19
1n
Automated Payment
AMEX EPayment ACH PMT
(36,423.18)
8/19
mm
Automated Payment
AMEX EPayment ACH PMT
(76.26)
8/28
8/28
Automated Payment
Maritime Sea Ins Insurance
(245.00)
8/31
Automated Payment
AMEX EPayment ACH PMT
(14,062.59)
8/31
.ft
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
TOTAL AUTOMATED PAYMENTS $(56,040.25)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date
Activity Type
Description
Credits/(Debits)
8/4
Automatic Investment
BANK DEPOSIT PROGRAM
$2,518.50
8/5
Automatic Redemption
BANK DEPOSIT PROGRAM
(906.74)
8/6
Automatic Redemption
BANK DEPOSIT PROGRAM
(2,500.00)
8/10
Automatic Redemption
BANK DEPOSIT PROGRAM
(800.00)
8/11
Automatic Redemption
BANK DEPOSIT PROGRAM
(1,326.48)
8/14
Automatic Redemption
BANK DEPOSIT PROGRAM
(19,000.00)
8/19
Automatic Investment
BANK DEPOSIT PROGRAM
130,167.22
8/21
Automatic Redemption
BANK DEPOSIT PROGRAM
(66.70)
8/24
Automatic Investment
BANK DEPOSIT PROGRAM
180,314.06
8/25
Automatic Redemption
BANK DEPOSIT PROGRAM
(41,953 69)
8/26
Automatic Redemption
BANK DEPOSIT PROGRAM
(152,800.00)
8/27
Automatic Redemption
BANK DEPOSIT PROGRAM
(7,500 00)
8/28
Automatic Redemption
BANK DEPOSIT PROGRAM
(245 00)
FOIA Confidential Treatment Requested
MS-USAO-0017876
Morgan Stanley
CLIENT STATEMENT I For the Period August 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 9 of 10
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY (CONTINUED)
Date Activity Type
Description
CreditsZ(Debits)
8/31 Automatic Investment
BANK DEPOSIT PROGRAM
1.28
8/31 Automatic Investment
BANK DEPOSIT PROGRAM
009
8/31 Automatic Redemption
BANK DEPOSIT PROGRAM
(31,062.59)
NET ACTIVITY FOR PERIOD
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
$54,839.95
LOUIS PLUNG AND COMPANY, LLP
FOIA Confidential Treatment Requested
MS-USAO-0017877
PRIVATE WEALTH MANAGEMENT
Page 10 of 10
This page intentionally left blank
FOIA Confidential Treatment Requested
MS-USAO-0017878
CLIENT STATEMENT I For the Period September 1 -30, 2015
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STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 9/30/15) $4,052,931.58
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
Access Your Account Online: www.morganstanley.com/PWM
654-031823 -041 -1 -0
MS-USAO-0017879
CLIENT STATEMENT I For the Period September 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH MAN AGE IV! ENT p aqe 2 of 10
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Investments
Structured Investments are complex products and may be subject to
special risks. Investors should consider the concentration risk of owning
the related security and their total exposure to any underlying asset.
Structured Investments may not perform in a manner consistent with
the statement product category in which they appear and therefore may
not satisfy portfolio asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody's investors Service and Standard & Poor's
The credit rating from Moody's Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 09/2015
FOIA Confidential Treatment Requested
MS-USAO-0017880
CLIENT STATEMENT I For the Period September 1 -30, 2015
ASSET ALLOCATION (includes accrued interest)
Cash
_ Equities
TOTAL VALUE
Market Value
$415,814.86
3,637,116.72
$4,052,931.58
Percentage
10.3
89.7
100 . 0 %
FDIC rules apply and Bank Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash
and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
Values may include assets externally held , which are provided to you as a courtesy ; and may not be
covered by SIPC. For additional information , refer to the corresponding section of this statement.
FOIA Confidential Treatment Requested
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capital (total amount invested minus
MAR 2014 JUN 2014 SEP 2014 DEC 2014 MAR 2015 JUN2015 SEP 2015
— Total Market Value """ Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net Invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
Equities
This allocation represents holdings on a trade date basis , and projected settled Cash/ BDP and MMF
balances. These classifications are not intended to serve as a suitability analysis.
MS-USAO-OO17881
Morgan Stanley
CLIENT STATEMENT I For the Period September 1 -30, 2015 PRIVATE WEALTH MANAGEMENT Page 4 of 10
BALANCE SHEET ( A includes accrued interest)
CASH FLOW
Cash, BDP, MMFs
Stocks
Total Assets
Total Liabilities (outstanding balance)
TOTAL VALUE
Last Period
(as of 8/31/15)
$126,389.35
7,304,883.30
$7,431,272.65
$7,431,272.65
This Period
(as of 9/30/15)
$415,814.86
3,637,116.72
$4,052,931.58
$4,052,931.58
OPENING CASH, BDP, MMFs
Purchases
Sales and Redemptions
Income and Distributions
Total Investment Related Activity
Checks Deposited
Electronic Transfers-Credits
Electronic Transfers-Debits
Other Credits
Other Debits
Total Cash Related Activity
Debit Card
Checks Written
Automated Payments _
Total Card/Check Activity
This Period
(9/1/15-9/30/15)
$126,389.35
2 76
$2.76
551,666.66
(191,300.00)
$360,366.66
(3,725 00)
(67,218.91)
$(70,943.91)
This Year
(1/1/15-9/30/15)
$460,642.76
(942,761.13)
675,189.23
30.56
$(267,541.34)
9,320.00
6,328,939.00
(5,314,050.27)
187,380.04
(187,380.04)
$1,024,208.73
(697.23)
(311,303.20)
(489,494.86)
$(801,495.29)
CLOSING CASH, BDP, MMFs
$415,814.86
$415,814.86
INCOME AND DISTRIBUTION SUMMARY
This Period This Year
(9/1/15 9/30/15) (1/1/15 9/30/15)
Interest
$2.76
$30.56
Total Taxable Income And Distributions
$2.76
$30.56
Total Tax-Exempt Income —- —
TOTAL INCOME AND DISTRIBUTIONS
$2.76
$30.56
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
GAIN/(LOSS) SUMMARY
Unrealized
Realized This Period Realized This Year Inception to Date
_ (9/1/15-9/30/15) _ (1/1/15-9/30/15) _ (as of 9/30/15)
Short-Term Gain — $4,231.79 —
Short-Term (Loss) _—-_ (13,136.62) _ —
Total Short-Term — $(8,904.83) —
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017882
Morgan Stanley
CLIENT STATEMENT I For the Period September 1 -30, 2015 PRIVATE WEALTH MANAGEMENT Page 5 of 10
Investment Objectives?: Speculation, Capital Appreciation, Income, Aggressive Income Brokerage Account
f Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis. "Market Value " and "Unrealized Gain/(Loss)" may not reflect the value that could be obtained in the market. Fixed Income securities are sorted
by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income a) is calculated on a pre-tax basis, b) does not include any reduction for applicable non-US withholding taxes, c) may
include return of principal or capita! gains which could overstate such estimates, and d) for securities that have a defined maturity date within the next 12 months, is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Current yield reflects the income generated by an investment, and does not reflect changes in its price. Structured Investments, identified on the
Product Detail Description line as an "Asset Class ," may appear in various statement product categories. When displayed, the accrued interest, annual income and current yield for those with a contingent
income feature (e.g.. Range Accrual Notes or contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest.
For Floating Rate Securities, the accrued interest , annua! income and current yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit balance(s) or shares of any money market
fund balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
7-Day
Description
Market Value
Current Yield %
EstAnn Income
APY %
CASH
$73,000.00
MORGAN STANLEY BANK N.A. #
245,001.89
—
25.00
0.010
MORGAN STANLEY PRIVATE BANK NA #
97,812.97
—
10.00
0.010
BANK DEPOSITS
$342,814.86
$35.00
_ Market Value _ EstAnn Income
$415,814.86 $35.00
Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC and each a national bank and FDIC member.
Unrealized Current
Unit Cost Share Price _ Total Cost _ Market Value _ Gain/(Loss) _ EstAnn Income Yield %
— $7,120 Please Provide $3,637,116.72 N/A — —
Percentage
_ of Assets _
CASH, BDP, km MFs 10.3%
# Bank Deposits are held at Morgan Stanley Bank, N.A. and/or Morgan Stanley Private
STOCKS
COMMON STOCKS
Security Description _ Trade Date _ Quantit
CODE REBEL C0RP COM RST — 510,831.00(
In Safekeeping: 510,831.000; Asset Class: Equities
FOIA Confidential Treatment Requested
MS-USAO-0017883
CLIENT STATEMENT
For the Period September 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe g 0 f *sq
Percentage Unrealized Current
of Assets _ Total Cost _ Market Value _ Gain/(Loss) _ Est Ann Income Yield %
STOCKS
89.7%
$9.00 $3,637,116.72
$0.00 ST $0.00
Percentage
of Assets
Total Cost
Unrealized
Gain/l
Est Ann Income Current
Accrued Interest Yield %
TOTAL MARKET VALUE
$ 0.00
$4,052,931.58
$0.00 ST
$35.00
$ 0.00
TOTAL VALUE (includes accrued interest)
100 . 0 %
$4,052,931.58
Unrealized Gain/(Loss) totals only reflect positions that have both cost basis and market value information available. Cash , MMF, Deposits and positions stating 'Please Provide' are not included.
ALLOCATION OF ASSETS
Cash
Cash, BDP, MMFs
Stocks
$415,814.86
Equities
$3,637,116.72
Fixed Income &
Preferred Securities
Alternatives
Annuities &
Insurance
Structured
Investments
Other
TOTAL ALLOCATION OF ASSETS
$ 415 , 814.86
$ 3 , 637 , 116.72
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
9/1
9/1
Funds Transferred
WIRED FUNDS SENT
BENE: OWASCO, PC
ACCT: XXXXXX5142
$(5,000 00)
9/1
9/1
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 41496424
TO 654-031822
(10,000.00)
9/3
9/3
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
(5,000.00)
ACCT: XXXXX0876
9/4
9/4
Automated Payment
J CONDOMINIUM SO 1010888706
AUTOMATIC BILL PAYMENT
(906 74)
9/9
9/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326 48)
9/9
9/9
Funds Transferred
WIRED FUNDS SENT
BENE: LEXVEST GROUP
ACCT: XXXX0975
(5,000.00)
9/10
9/10
Funds Received
WIRED FUNDS RECEIVED
CITY NATIONAL BANK
275,000.00
MBLOOM BDC ADVISOR LLC
FOIA Confidential Treatment Requested
MS-USAO-0017884
CLIENT STATEMENT
For the Period September 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 7 0 f *30
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credit$/(D@bits)
9/10
9/14
Check
THE WOLFF LAW FIRM
Check #1118
(3,725.00)
9/14
9/14
Funds Transferred
WIRED FUNDS SENT
BENE: MCG AUTOMOTIVE LLC
ACCT: XXXXXX0802
(1,300.00)
9/15
9/15
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(48,189.46)
9/16
9/16
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(19,000.00)
9/16
9/16
Funds Transferred
WIRED FUNDS SENT
BENE: SEBASTIAN MOMTAZI
ACCT: XXXXX9111
(15,000.00)
9/17
9/17
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
9/17
9/17
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
9/18
9/18
Funds Received
WIRED FUNDS RECEIVED
FIRST REPUBLIC BANK
RSTP MANAGEMENT LLC
18,000.00
9/24
9/24
Funds Transferred
WIRED FUNDS SENT
BENE: THE WOLFF LAW FIRM TRUST
ACCT: XXXXXX8399
(100,000.00)
9/28
9/28
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 42345599
TO 654-028322
(12,000.00)
9/29
9/29
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(13,796,23)
9/30
9/30
Funds Received
WIRED FUNDS RECEIVED
FIRST BANK
FRANCISCO JOSE MARTIN
39,000.00
9/30
9/30
Funds Received
WIRED FUNDS RECEIVED
JPMCLEARING CORP
SEYMOUR CAPITAL LTD
27,000.00
9/30
9/30
Funds Received
WIRED FUNDS RECEIVED
JPMCLEARING CORP
THUNDER VALLEY ENGINEERING LTD
26,000.00
9/30
9/30
Interest Income
MORGAN STANLEY BANK N.A.
(Period 09/01 -09/30)
1.89
9/30
9/30
Interest Income
MORGAN STANLEY PRIVATE BANK NA
(Period 09/10-09/30)
0 87
9/30
9/30
Automated Payment
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
(3,000 00)
9/30
9/30
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
(19,000.00)
ACCT: XXXXX0876
NET CREDITSZ(DEBITS) $289,425.51
FOIA Confidential Treatment Requested
MS-USAO-0017885
CLIENT STATEMENT
For the Period September 1 -30, 2015
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 8 of 10
DEBIT CARD & CHECKING ACTIVITY
CHECKS WRITTEN
Date Dale
Written
Paid
Check Number
Activity Type
Payee
Expense Category
Credits/(Debits)
9/10
9/14
1118
Check
THE WOLFF LAW FIRM
$(3,725.00)
TOTAL CHECKS WRITTEN $(3,725.00)
AUTOMATED PAYMENTS
Bill pay and other electronic activity , which may include checks you wrote that were processed by Automated Clearing House processing.
Date off
Payment
Date
Paid
Activity Type
Payee
CreditsZ(Debits)
9/4
9/4
Automated Payment
J CONDOMINIUM SO 1010888706
$(906.74)
9/9
9/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
9/15
9/15
Automated Payment
AMEX EPayment ACH PMT
(48,189.46)
9/29
9/29
Automated Payment
AMEX EPayment ACH PMT
(13,796.23)
9/30
9/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
TOTAL AUTOMATED PAYMENTS $(67,218.91)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Pate Activity Type
9/1
Automatic Redemption
9/3 Automatic Redemption
9/4 Automatic Redemption
9/9 Automatic Redemption
9/10 Automatic Investment
9/14 Automatic Redemption
9/15 Automatic Redemption
9/16 Automatic Redemption
9/17 Automatic Investment
9/18 Automatic Investment
9/24 Automatic Redemption
9/28 Automatic Redemption
9/29 Automatic Redemption
9/30 Automatic Investment
Description
iANK DEPOSIT PROGRAM
IANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
iANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
9/30 Automatic Investment
BANK DEPOSIT PROGRAM
Credits/(Debits)
$(15,000.00)
(5,000 00)
(906 74)
(1,326,48)
270,000.00
(3,725 00)
(49,489 46)
(15,000 00)
147,666.66
18,000.00
( 100 , 000 . 00 )
( 12 , 000 . 00 )
(13,796.23)
1.89
0,87
FOIA Confidential Treatment Requested
MS-USAO-0017886
Morgan Stanley
CLIENT STATEMENT I For the Period September 1 -30, 2015 PRIVATE WEALTH MANAGEMENT Page 9 of 10
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY (CONTINUED)
Date Activity Type Description ____ Credjts/(Debjts)
9/30 Automatic Redemption _ BANK DEPOSIT PROGRAM _ (3,000 00)
NET ACTIVITY FOR PERIOD $216,425.51
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
Statement of Financial Condition
At June 30, 2015 Morgan Stanley Smith Barney LLC had net capital of $5,031 which exceeded the Securities and Exchange Commission's minimum requirement by $4,868. A copy of the Morgan Stanley Smith
Barney LLC Consolidated Statement of Financial Condition at June 30, 2015 can be viewed online at: http://www.morganstanley.com/about-us-ir/shareholder/morganstanley_smithbarney_llc.pdf or may be mailed to
you at no cost by calling 1 (866) 825-1675, after September 15, 2015.
Sign up for eDelivery of your Statements Today
Would you like to receive your Statements and other documents faster, more securely and with the added benefit of reducing paper mail? Simply visit www.morganstanley.com/edelivery to set your eDelivery
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FOIA Confidential Treatment Requested
MS-USAO-0017887
PRIVATE WEALTH MANAGEMENT
Page 10 of 10
This page intentionally left blank
FOIA Confidential Treatment Requested
MS-USAO-0017888
CLIENT STATEMENT I For the Period October 1 -31, 2015
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STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 10/31/15) $2,616,408.01
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
Access Your Account Online: www.morganstanley.com/PWM
654-031823 -041 -1 -0
MS-USAO-0017889
CLIENT STATEMENT I For the Period October 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH MAN AGE IV! ENT p aq@ 2 of 10
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Investments Risks and Considerations
Structured Investments (Structured Products) are complex products and
may be subject to special risks. Investors should consider the
concentration risk of owning the related security and their total
exposure to any underlying asset. Structured Investments, which may
appear in various statement product categories and are identified on
the Position Description Details line as "Asset Class: Struct Inv," may
not perform in a manner consistent with the statement product
category where they appear and therefore may not satisfy portfolio
asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody’s Investors Service and Standard & Poor’s
The credit rating from Moody’s Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 10/2015
FOIA Confidential Treatment Requested
MS-USAO-0017890
CLIENT STATEMENT I For the Period October 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 3 0 f *30
Active
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period
This Year
(10/1/15-10/31/15)
(1/1/15-10/31/15)
TOTAL BEGINNING VALUE
$4,052,931.58
$18,436,429.61
Credits
Debits
Security Transfers
Accrued Interest On Security Transfers
1,960,647.80
(2,293,726.22)
8,486,286.84
(8,596,651.82)
1,576,302.81
(519,225.00)
Net Credits/Debits/Transfers
$(333,078.42)
$946,712.83
Change in Value
(1,103,445.15)
(16,766,734.43)
TOTAL ENDING VALUE
$2,616,408.01
$2,616,408.01
ASSET ALLOCATION (includes accrued interest)
Market Value
Percentage
Cash
$82,737.34
3.16
Equities
2,533,670.67
96.84
TOTAL VALUE
$2,616,408.01
100.00%
FDIC rules apply and Bank Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash
and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
Values may include assets externally held , which are provided to you as a courtesy; and may not be
covered by SIPC. For additional information, refer to the corresponding section of this statement.
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
— Total Market Value Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net Invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
This asset allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and
MMF balances. These classifications do not constitute a recommendation and may differ from the
classification of instruments for regulatory or tax purposes. See Structured Investments Risks in the
Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017891
CLIENT STATEMENT I For the Period October 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 4 0 f *30
Active
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 9/30/15)
This Period
(as of 10/31/15)
Cash, BDP, MMFs
Stocks
$415,814.86
3,637,116.72
$82,737.34
2,533,670.67
Total Assets
$4,052,931.58
$2,616,408.01
Total Liabilities (outstanding balance) — —
TOTAL VALUE
$4,052,931.58
$2,616,408.01
CASH FLOW
This Period
(10/1/15 10/31/1 5)
This Year
(1/1/15-10/31/15)
OPENING CASH, BDP, MMFs
$415,814.86
$460,642.76
Purchases
Sales and Redemptions
Income and Distributions
090
(942,761.13)
675,189.23
31.46
Total Investment Related Activity
$0.90
$(267,540.44)
Checks Deposited
Electronic Transfers-Credits
Electronic Transfers-Debits
Other Credits
Other Debits
1,960,647.80
(2,061,470.42)
9,320.00
8,289,586.80
(7,375,520.69)
187,380.04
(187,380.04)
Total Cash Related Activity
$(100,822.62)
$923,386.11
Debit Card
Checks Written
Automated Payments
(180,395.00)
(51,860.80)
(697.23)
(491,698.20)
(541,355.66)
Total Card/Check Activity
$(232,255.80)
$(1,033,751.09)
CLOSING CASH, BDP, MMFs
$82,737.34
$82,737.34
INCOME AND DISTRIBUTION SUMMARY
This Period
(10/1/15-10/31/15)
Interest _ $0.90
Total Taxable Income And Distributions $0.90
Total Tax-Exempt Income
TOTAL INCOME AND DISTRIBUTIONS
$0.90
This Year
(1/1/15-10/31/15)
$31.46
$31.46
$31.46
GAIN/(LOSS) SUMMARY
Realized This Period Realized This Year
_ (10/1/15-10/31/15) (1/1/15-10/31/15)
Short-Term Gain — $4,231.79
Short-Term (Loss) _—-_ (13,136.62)
Total Short-Term — $(8,904.83)
Unrealized
Inception to Date
(as of 10/31/15)
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017892
CLIENT STATEMENT I For the Period October 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 5 0 f
Active
Investment Objectives?: Speculation, Capital Appreciation, Income, Aggressive Income Brokerage Account
f Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis. "Market Value " and "Unrealized Gain/(Loss)" may not reflect the value that could be obtained in the market. Fixed Income securities are sorted
by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income a) is calculated on a pre-tax basis, b) does not include any reduction for applicable non-US withholding taxes, c) may
include return of principal or capital gains which could overstate such estimates, and d) for securities that have a defined maturity date within the next 12 months, is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Current yield reflects the income generated by an investment, and does not reflect changes in its price. Structured Investments, identified on the
Position Description Details line as "Asset Class: Struct Inv," may appear in various statement product categories. When displayed, the accrued interest, annual income and current yield for those with a
contingent income feature (e.g., Range Accrual Notes or Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent
interest. For Floating Rate Securities, the accrued interest, annual income and current yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program , and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit bafance(s) or shares of any money market
fund balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description _
MORGAN STANLEY BANK N.A. #
Market Value
$ 82 , 737.34
7-Day
Current Yield % _ Est Ann Income APY%
— $ 8.00 0.010
Percentage
of Assets Market Value Est Ann Income
CASH, BDP, AND MMFs
3 . 16 %
$ 82 , 737.34
$ 8.00
# Bank Deposits are held at Morgan Stanley Bank, N.A. and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC and each a national bank and FDIC member.
STOCKS
COMMON STOCKS
Security Description _
CODE REBEL C0RP COM RST
In Safekeeping: 510,831.000; Asset Class: Equities
Trade Date
Quantity
Unit Cost Share Price
Total Cost
Market Value
Unrealized
Gain/(Loss)
Current
Est Ann Income Yield %
510,831.000
$4,960
Please Provide
$ 2 , 533 , 670.67
N/A
Percentage
of Assets
STOCKS
Total Cost _ Market Value
$ 0.00 $ 2 , 533 , 670.67
Unrealized Current
Gain/(Loss) _ Est Ann Income Yield %
$ 0.00 —
FOIA Confidential Treatment Requested
MS-USAO-0017893
CLIENT STATEMENT I For the Period October 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe g 0 f *sq
Percentage
of Assets
Total Cost
Unrealized
Gain/i
Est Ann Income Current
Accrued Interest Yield %
TOTAL MARKET VALUE
$ 0.00
$2,616,408.01
$ 8.00
$ 0.00
TOTAL VALUE (includes accrued interest)
100 . 00 %
$2,616,408.01
Unrealized Gain/(Loss) totals only reflect positions that have both cost basis and market value information available. Cash , MMF, Deposits and positions stating 'Please Provide' are not included.
ALLOCATION OF ASSETS
Fixed Income & Annuities & Structured
Cash _ Equities Preferred Securities Alternatives Insurance Investments Other
Cash, BDP r MMFs $82,737.34 ______
Stocks _ = _ $2,533,670.67 _—_ = _ = _ = __
TOTAL ALLOCATION OF ASSETS $82,737.34 $2,533,670.67 — — — — —
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
9/25
Check
US TREASURY
Check# 1123
$(173,729.00)
9/25
10/5
Check
COMM OF TAXATION & FIN
Check# 1126
(3,741.00)
9/25
10/7
Check
ARKANSAS DEPARTMENT OF & ADMIN
Check #1124
(63,00)
9/25
10/7
Check
LA DEPT OF REV
Check# 1125
(12 00)
9/28
10/2
Check
LOU'S AND COMPANY
Check# 1128
(2,750.00)
9/28
10/1
Check
MARTHA FARED
Check #1127
(100.00)
10/1
10/1
Funds Received
WIRED FUNDS RECEIVED
US BANCORP TRUST NATIONAL ASSO
WAKPAMNI LAKE COMMUNITY CORPOR
903,000.00
10/1
10/1
Funds Transferred
WIRED FUNDS SENT
BENE: BURNHAM FINANCIAL GROUP
ACCT: XXXXXXXX4969
(750,000.00)
10/1
10/1
Funds Transferred
WIRED FUNDS SENT
BENE: BURNHAM FINANCIAL GROUP
(198,000.00)
ACCT: XXXXXXXX4969
10/1
10/1
Funds Transferred
WIRED FUNDS SENT
BENE: BURNHAM FINANCIAL GROUP
ACCT:XXXXXXXX4969
(150,000.00)
10/2
10/2
Funds Received
WIRED FUNDS RECEIVED
PERSHING LLC
THUNDER VALLEY ENGINEERING LTD
86,000.00
10/2
10/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 42796339
12,000.00
FROM 654-028322
FOIA Confidential Treatment Requested
MS-USAO-0017894
CLIENT STATEMENT I For the Period October 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe 7 0 f *30
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
10/2
10/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 42796396
TO 654-031822
(12,000.00)
10/5
10/5
Automated Payment
J CONDOMINIUM SO 1010888706
AUTOMATIC BILL PAYMENT
(906.74)
10/5
10/5
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(15,000 00)
10/9
10/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326,48)
10/12
10/12
Cash Transfer
CASH ADJUSTMENT
REV INCOMING WIRE
(903,000.00)
10/13
10/13
Interest Income
MORGAN STANLEY BANK N.A.
0 54
10/13
10/13
Interest Income
MORGAN STANLEY PRIVATE BANK NA
006
10/16
10/16
Funds Received
WIRED FUNDS RECEIVED
BANK OF AMERICA NA NY
BURNHAM FINANCIAL GROUP INC.
750,000.00
10/16
10/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
10/16
10/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
10/16
10/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
4,737.58
10/19
10/19
Funds Received
WIRED FUNDS RECEIVED
NORVIK BANKA JSC
1/AS ’NORVIK BANKA'
10,214.94
10/19
10/19
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(6,333.40)
10/20
10/20
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(46,627.58)
10/22
10/22
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 43415091
TO 654-031822
(7,000.00)
10/23
10/23
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 43470299
20,140.00
FROM 654-031880
10/23
10/23
Funds Transferred
WIRED FUNDS SENT
BENE: ARCADIA RESOURCES INVEST
ACCT: XXXXXX1978
(20,137.02)
10/28
10/28
Funds Received
WIRED FUNDS RECEIVED
NORVIK BANKA JSC
7,888.62
1/AS ’NORVIK BANKA'
10/30
10/30
Interest Income
MORGAN STANLEY BANK N.A.
(Period 10/01-10/31)
0.30
10/30
10/30
Auto mated Payment
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
(3,000 00)
NET CRED!TS/(DEBITS) $(333,077.52)
FOIA Confidential Treatment Requested
MS-USAO-0017895
CLIENT STATEMENT I For the Period October 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aqe g 0 f *30
DEBIT CARD & CHECKING ACTIVITY
CHECKS WRITTEN
Date
Written
Date
Paid
Check Number
Activity Type
TOTAL CHECKS WRITTEN
Payee
Expense Category
Credits/(Debits)
9/25
10/6
1123
Check
US TREASURY
$(173,729.00)
9/25
10/7
1124
Check
ARKANSAS DEPARTMENT OF & ADMIN
(63.00)
9/25
10/7
1125
Check
LA DEPT OF REV
(12.00)
9/25
10/5
1126
Check
COMM OF TAXATION & FIN
(3,741.00)
9/28
10/1
1127
Check
MARTHA FARED
(100.00)
9/28
10/2
1128
Check
LOU’S AND COMPANY
(2,750.00)
$(180,395.00)
AUTOMATED PAYMENTS
Bill pay and other electronic activity , which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Payment
Date
Paid
Activity Type
Payee
Credits/(Debits)
10/5
10/5
Automated Payment
J CONDOMINIUM SO 1010888706
$(906.74)
10/9
10/9
Automated Payment
iANK OF THE WEST 1C PAYMENT
(1,326.48)
10/20
10/20 Automated Payment
AMEX EPayment ACH PMT
(46,627.58)
10/30
10/30 Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
TOTAL AUTOMATED PAYMENTS
$(51,860.80)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date Activity Type
10/1 Automatic Redemption
10/2 Automatic Investment
10/5 Automatic Redemption
10/6 Automatic Redemption
10/7 Automatic Redemption
10/9 Automatic Redemption
10/13 Automatic Redemption
10/19 Automatic I nvestment
10/20 Automatic Redemption
10/22 Automatic Redemption
10/23 Automatic Investment
Description
IANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
IANK DEPOSIT PROGRAM
10/28 Automatic Investment
BANK DEPOSIT PROGRAM
Credits/(Debifs)
$(122,100.00)
83,250.00
(19,647.74)
(173,729.00)
(75.00)
(1,326 48)
(109,186.64)
131,473.02
(46,627 58)
(7,000,00)
2.9:
7,888 62
FOIA Confidential Treatment Requested
MS-USAO-0017896
Morgan Stanley
CLIENT STATEMENT I For the Period October 1-31, 2015 PRIVATE WEALTH MANAGEMENT Page 9 of 10
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY (CONTINUED)
Date Activity Type
10/30 Automatic Investment
10/30 Automatic Redemption
Description
BANK DEPOSIT PROGRAM
BANK DEPOSIT PROGRAM
CreditsZ(Debits)
0 30
(3,000.00)
NET ACTIVITY FOR PERIOD
$(260,077.52)
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO: _
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
Statement of Financial Condition (In Millions of Dollars)
At June 30, 2015 Morgan Stanley Smith Barney LLC had net capital of $5,031 which exceeded the Securities and Exchange Commission's minimum requirement by $4,868. A copy of the Morgan Stanley Smith
Barney LLC Consolidated Statement of Financial Condition at June 30, 2015 can be viewed online at: http://www.morganstanley.com/about-us-ir/shareholder/morganstanley_smithbarney_llc.pdf or may be mailed to
you at no cost by calling 1 (866) 825-1675, after September 15, 2015.
FOIA Confidential Treatment Requested
MS-USAO-0017897
PRIVATE WEALTH MANAGEMENT
Page 10 of 10
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FOIA Confidential Treatment Requested
MS-USAO-0017898
CLIENT STATEMENT I For the Period November 1-30, 2015
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STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 11/30/15) $2,062,051.63
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
Access Your Account Online: www.morganstanley.com/PWM
654-031823 -041 -1 -0
MS-USAO-0017899
Morgan Stanley
CLIENT STATEMENT I For the Period November 1-30, 2015 PRIVATE WEALTH MANAGEMENT Page 2 of 8
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Investments Risks and Considerations
Structured Investments (Structured Products) are complex products and
may be subject to special risks. Investors should consider the
concentration risk of owning the related security and their total
exposure to any underlying asset. Structured Investments, which may
appear in various statement product categories and are identified on
the Position Description Details line as "Asset Class: Struct Inv," may
not perform in a manner consistent with the statement product
category where they appear and therefore may not satisfy portfolio
asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody’s investors Service and Standard & Poor’s
The credit rating from Moody’s Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 10/2015
FOIA Confidential Treatment Requested
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CLIENT STATEMENT I For the Period November 1-30, 2015
ASSET ALLOCATION (includes accrued interest)
Cash
_ Equities
TOTAL VALUE
Market Value
$151,543.69
1,910,507.94
$2,062,051.63
Percentage
7.35
92.65
100 . 00 %
FDIC rules apply and Bank Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash
and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
Values may include assets externally held , which are provided to you as a courtesy; and may not be
covered by SIPC. For additional information , refer to the corresponding section of this statement.
FOIA Confidential Treatment Requested
— Total Market Value Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net Invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
Equities
This asset allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and
MMF balances. These classifications do not constitute a recommendation and may differ from the
classification of instruments for regulatory or tax purposes.
MS-USAO-OO17901
Morgan Stanley
CLIENT STATEMENT I For the Period November 1-30, 2015 PRIVATE WEALTH MANAGEMENT Page 4 of 8
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 10/31/15)
This Period
(as of 11/30/15)
Cash, BDP, MMFs
Stocks
$82,737.34
2,533,670.67
$151,543.69
1,910,507.94
Total Assets
$2,616,408.01
$2,062,051.63
Total Liabilities (outstanding balance) — —
TOTAL VALUE
$2,616,408.01
$2,062,051.63
CASH FLOW
This Period
(11/1/15-11/30/15)
This Year
(1/1/15-11/30/15)
OPENING CASH, BDP, MMFs
$82,737.34
$460,642.76
Purchases
--
(942,761.13)
Sales and Redemptions
675,189.23
Income and Distributions
1.58
33.04
Total Investment Related Activity
$1.58
$(267,538.86)
Checks Deposited
15,000.00
24,320.00
Electronic Transfers-Credits
145,310.95
8,434,897.75
Electronic Transfers-Debits
(25,000.00)
(7,400,520.69)
Other Credits
—
187,380.04
Other Debits
—
(187,380.04)
Total Cash Related Activity
$135,310.95
$1,058,697.06
Debit Card
—
(697.23)
Checks Written
(491,698.20)
Automated Payments
(66,506.18)
(607,861.84)
Total Card/Check Activity
$(66,506 18)
$(1,100,257.27)
CLOSING CASH, BDP, MMFs
$151,543.69
$151,543.69
INCOME AND DISTRIBUTION SUMMARY
This Period
(11/1/15 11/30/15)
Interest _ $1.58
Total Taxable Income And Distributions $1.58
Total Tax-Exempt Income
TOTAL INCOME AND DISTRIBUTIONS
$1.58
This Year
(1/1/15-11/30/15)
$33.04
$33.04
$33.04
GAIN/(LOSS) SUMMARY
Realized This Period Realized This Year
_ (11/1/15-11 /3Q/15) (1/1/15-11 /30/15)
Short-Term Gain — $4,231.79
Short-Term (Loss) _•—_ (13,138.82)
Total Short-Term — $(8,904.83)
Unrealized
Inception to Date
(as of 11 /3Q/15)
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
FOIA Confidential Treatment Requested
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Morgan Stanley
CLIENT STATEMENT I For the Period November 1-30, 2015 PRIVATE WEALTH MANAGEMENT Page 5 of 8
Investment Objectives?: Speculation, Capital Appreciation, Income, Aggressive Income Brokerage Account
f Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis. "Market Value " and "Unrealized Gain/(Loss)" may not reflect the value that could be obtained in the market. Fixed Income securities are sorted
by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income a) is calculated on a pre-tax basis, b) does not include any reduction for applicable non-US withholding taxes, c) may
include return of principal or capital gains which could overstate such estimates, and d) for securities that have a defined maturity date within the next 12 months, is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Current yield reflects the income generated by an investment, and does not reflect changes in its price. Structured Investments, identified on the
Position Description Details line as "Asset Class: Struct Inv," may appear in various statement product categories. When displayed, the accrued interest, annual income and current yield for those with a
contingent income feature (e.g., Range Accrual Notes or Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of ail contingent
interest. For Floating Rate Securities, the accrued interest, annual income and current yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program , and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit bafance(s) or shares of any money market
fund balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description _
MORGAN STANLEY BANK N.A. #
7-Day
Market Value Current Yield % Est Ann Income APY %
$151,543.69 — $15.00 0.010
Percentage
of Holdings _ Market Value _ Est Ann Income
CASH, BDP, AND MMFs
7.35%
$151,543.69
$15.00
# Bank Deposits are held at Morgan Stanley Bank, N.A. and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC and each a national bank and FDIC member.
STOCKS
COMMON STOCKS
Security Description _
CODE REBEL CORF COM RST
In Safekeeping: 510,831.000; Asset Class: Equities
Trade Date
Quantity
Unit Cost Share Price
Total Cost
Market Value
Unrealized
Gain/(Loss)
Current
Est Ann Income Yield %
510,831.000
$3,740
Please Provide
$1,910,507.94
N/A
Percentage
of Holdings
STOCKS
92.65%
Total Cost _ Market Value
$0.00 $1,910,507.94
Unrealized
Gain/(Loss)
$0.00 ST
Current
Est Ann Income Yield %
$ 0.00 —
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Morgan Stanley
CLIENT STATEMENT I For the Period November 1-30, 2015 PRIVATE WEALTH MANAGEMENT Page 6 of 8
Percentage
of Holdin
Unrealized
Est Ann Income Current
Accrued Interest Yield %
TOTAL MARKET VALUE
$ 0.00
$2,062,051.63
$0.00 ST
$15.00
$ 0.00
TOTAL VALUE (includes accrued interest)
100 . 00 %
$2,062,051.63
Unrealized Gain/(Loss) totals only reflect positions that have both cost basis and market value information available. Cash , MMF, Deposits and positions stating 'Please Provide' are not included.
ALLOCATION OF ASSETS
Cash, BDP, MMFs
Stocks
Cash
Equities
Fixed Income &
Preferred Securities
Alternatives
Annuities &
Insurance
Structured
Investments
$151,543.69
$1,910,507.94
Other
TOTAL ALLOCATION OF ASSETS
$151,543.69
$1,910,507.94
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
11/3
11/3
Funds Received
WIRE FUNDS RCVD AS OF 11 -02-15
CITIBANK NA NYBD CITICORP DATA
DEVON D ARCHER
$140,000.00
11/3
11/3
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(15,590.15)
11/5
11/5
Funds Received
WIRE FUNDS RCVD AS OF 11-04-15
BANK OF CHINA
BHR HAH LLC
875.10
11/5
11/5
Automated Payment
J CONDOMINIUM SO
AUTOMATIC BILL PAYMENT
(906.74)
11/10
11/10
Check Deposit
FUNDS RECEIVED
15,000.00
11/10
11/10
Automated Payment
BANK OF THE WEST 1C PAYMENT
AUTOMATIC BILL PAYMENT
(1,326.48)
11/12
11/12
Cash Transfer
FUNDS TRANSFERRED
CONFIRMATION # 44371028
425.05
FROM 654-031880
11/12
11/12
Funds Received
WIRED FUNDS RECEIVED
NORVIK BANKA JSC
1/AS ’NORVIK BANKA'
4,010.80
11/23
11/23
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(45,232.81)
11/23
11/23
Automated Payment
AMEX EPayment ACH PMT
AUTOMATIC BILL PAYMENT
(450.00)
11/24
11/24
Funds Transferred
WIRED FUNDS SENT
BENE: REPUTATION COM INC.
ACCT: XXXXXX5404
(25,000 00)
11/30
11/30 Interest Income
MORGAN STANLEY BANK N.A
(Period 11/Q1-11/3Q) _
1.58
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Morgan Stanley
CLIENT STATEMENT I For the Period November 1-30, 2015 PRIVATE WEALTH MANAGEMENT Page 7 of 8
CASH FLOW ACTIVITY BY DATE (CONTINUED)
Transaction Settlement
Date _ Date Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
11/30
11/30 Automated Payment
BANK OF AMERICA ONLINE PMT
AUTOMATIC BILL PAYMENT
NET CREDITS/(DEBITS)
(3,000, OG)
*:*:*:*:*:':*:*w*:*:*:*:*:*:*:*:*:*:*:*:*w^
$68,806.35
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Date
Paid
Activity Type
Payee
TOTAL AUTOMATED PAYMENTS
Credits/CDebits)
11/3
11/3
Automated Payment
AMEX EPayment ACH PMT
$(15,590 15)
11/5
11/5
Automated Payment
J CONDOMINIUM SO
(906.74)
11/10
11/10
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
11/23
11/23
Automated Payment
AMEX EPayment ACH PMT
(45,232.81)
11/23
11/23
Automated Payment
AMEX EPayment ACH PMT
(450.00)
11/30
11/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
$(66,506.18)
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date Activity Type
Description
CreditsZ(Debits)
11/3 Automatic 1 nvestment
BANK DEPOSIT PROGRAM
$124,409.85
11/5 Automatic Redemption
BANK DEPOSIT PROGRAM
(906,74)
11/6 Automatic 1 nvestment
BANK DEPOSIT PROGRAM
875.10
11/10 Automatic 1 nvestment
BANK DEPOSIT PROGRAM
13,673.52
11/12 Automatic 1 nvestment
BANK DEPOSIT PROGRAM
4,435.85
11/23 Automatic Redemption
BANK DEPOSIT PROGRAM
(45,682.81)
11/24 Automatic Redemption
BANK DEPOSIT PROGRAM
(25,000 00)
11/30 Automatic Investment
BANK DEPOSIT PROGRAM
1.58
11 /30 Automatic Redemption
BANK DEPOSIT PROGRAM
(3,000 00)
NET ACTIVITY FOR PERIOD
$08,806.35
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
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PRIVATE WEALTH MANAGEMENT
Page 8 of 8
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MS-USAO-0017906
CLIENT STATEMENT For the Period December 1 -31, 2015
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STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 12/31/15) $1,369,027.16
Includes Accrued interest
Your Private Wealth Advisor Team
WOOL/NILES
212-893-6507
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
Access Your Account Online: www.morganstanley.com/PWM
654-031823 -041 -1 -0
MS-USAO-0017907
Morgan Stanley
CLIENT STATEMENT I For the Period December 1 -31, 2015 PRIVATE WEALTH MANAGEMENT Page 2 of 24
Expanded Disclosures, which apply to all statements Morgan Stanley
Smith Barney LLC (we/us) sends to you, are provided with your first
statement and thereafter twice a year.
Questions?
Questions regarding your account may be directed to either your
Financial Advisor or the Branch Manager for the branch office where
you maintain your account, If you require further assistance, call the
Client Service Center at (800) 869-3326 or for account-related
concerns contact our Client Advocate at (866) 227-2256 or via U.S.
mail at P.0 Box 95002, South Jordan, Utah 84095.
Errors and inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re-confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Account Valuation
Account values are computed by adding (1) the market value of all
priced positions and (2) market values provided by pricing services
and/or outside custodians, as applicable for other positions, and by
adding any credit or subtracting any debit to your closing Cash, Money
Market Funds and/or Deposit balance. Cash, Deposits and Money
Market Funds are displayed on a settlement date basis, and other
positions are displayed in your account on a trade date basis. The
values of fixed income positions in summary displays include accrued
interest in the totals. In the "Holdings" section, fixed income market
value and accrued interest are also displayed in separate columns.
Accrued interest is the interest earned but not yet paid on the bond
since its last interest payment. In most cases, it is calculated from the
date of the last coupon payment (or "dated date") through the
closing date of the statement. Foreign Currency Deposits are reflected
in U.S. dollars as of the statement end date. The Annual Percentage
Yield (APY) for deposits represents the applicable rate in effect for your
deposits at the statement ending date. This APY may be different than
the APY that was in effect during the statement period. For current
Bank Deposit or Money Market Fund yields, go to
www. morga nsta n I ey. com/wea I th - i n vestmentstrateg i es/rate mo n i tor. htm I.
Additional Retirement Account Information
Tax-qualified account contributions are subject to IRS eligibility rules
and regulations. The Contributions information in this statement reflects
contributions for a particular account, without reference to any other
account. Check with your tax advisor to verify how much you can
contribute, if the contribution will be tax deductible, and if other special
rules apply (e g., to conversions/recharacterizations of Traditional to
Roth/Roth to Traditional IRAs). Tax reporting is provided for IRA, VIP
Basic and 403(b) accounts but not for VIP Plus and RPM accounts.
The account value used for your Required Minimum Distribution
calculation, if any, is based on the prior December 31st Account Value,
including accrued interest. Additionally, for IRAs (1) the "Max.
Individual Contributions Allowed (by SSN)” reflects the annual limit on
contributions that you can make to Traditional and Roth IRAs under
the Internal Revenue Code (this limit applies on a per person basis, not
per account; other rules apply to IRAs which are part of employer-
sponsored plans); (2) you cannot make an individual contribution to a
Traditional IRA for the year in which you reach age 70 1/2 or any later
year; and (3) the categorization of any contribution's deductibility is
based upon information provided by you. The information included in
this statement is not intended to constitute tax, legal or accounting
advice. Contact us if any of this information is incorrect.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Gain/(Loss) Information
Gain/(Loss) is provided for informational purposes. It is not a substitute
for Internal Revenue Service (IRS) Form 1099 (on which we report cost
basis for covered securities) or any other IRS tax form, and should not
be used for tax preparation. Unrealized Gain/(Loss) provided on this
statement is an estimate. Contact your own independent legal or tax
advisor to determine the appropriate use of the GainZ(Loss) information
on this statement. For more information, go to
www.morganstanley.com/wealth/disclosures/disclosures.asp, or call
Client Service Center.
Tax Reporting
Under Federal Income Tax law, we are required to report gross
proceeds of sales (including entering into short sales) on Form 1099-B
by February 15 of the year following the calendar year of the
transaction for reportable (i.e. non-retirement) accounts. For sales of
certain securities acquired on or after January 1, 2011 (or applicable
date for the type of security) we are also required to report cost basis
and holding period. Under Internal Revenue Service regulations, if you
have not provided us with a certification of either U.S. or foreign status
on applicable Form W-9 or W-8, your accounts may be subject to
either 28% back-up withholding or 30% nonresident alien withholding
on payments made to your accounts.
Investment Objectives
The following is an explanation of the investment objective alternatives
applicable to your account(s): Income - for investors seeking regular
income with low to moderate risk to principal; Capital Appreciation - for
investors seeking capital appreciation with moderate to high risk to
principal; Aggressive Income - for investors seeking higher returns either
as growth or as income with greater risk to principal; Speculation - for
investors seeking high profits or quick returns with considerable
possibility of losing most or all of their investment.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Customer(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral. The amount
you may borrow is based on the value of eligible securities in your
margin accounts. If a security has eligible shares the number of shares
pledged as collateral is indicated below the position. If you have a
margin account, as permitted by law, we may use certain securities in
your account for, among other things, settling short sales or lending the
securities for short sales, for which we may receive compensation.
Margin Interest Charges
We calculate interest charges on margin loans as follows; (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www morganstan I ey. com/on I ine/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
CONTINUED
FOIA Confidential Treatment Requested
MS-USAO-0017908
CLIENT STATEMENT For the Period December 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT Paae 3 ©f 24
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Money Market Fund (MMF) Pricing
An investment in a MMF is neither insured nor guaranteed by the
Federal Deposit Insurance Corporation (FDIC) or any other government
agency. Although MMFs seek to preserve the value of your investment
at $1.00 per share, there can be no assurance that will occur and it is
possible to lose money should the fund value per share fall. In some
circumstances MMFs may cease operations when the value of a fund
drops below $1.00 per share. In that event, the fund's holdings would
be liquidated and distributed to the fund's shareholders. This process
could take up to one month or more. During that time, these funds
would not be available to you to support purchases, withdrawals, and if
applicable, check writing or ATM debits from your account.
Notice Regarding Global Investment Manager Analysis
Morgan Stanley's Global Investment Manager Analysis team conducts
analysis on various mutual funds and exchange-traded funds for clients
holding those funds in certain investment advisory programs. If you
have invested in any of these funds in another type of account, such as
a brokerage account, you will not receive the same materials and status
updates on the funds as we provide to investment advisory clients
(including instructions on selling fund shares).
Pricing of Securities
The prices of securities are derived from various sources, and do not
necessarily represent the prices at which those securities could have
been bought or sold. Although we attempt to use reliable sources of
information, we can offer no assurance as to their accuracy. Prices of
securities not actively traded may not be available, and are indicated
by N/A (not available). For additional information on how we price
securities, go to
www.morganstanley.com/wealth/disclosures/disclosures.asp.
Important Information About Auction Rate Securities
For certain Auction Rate Securities there is no or limited liquidity.
Therefore, the price(s) for any Auction Rate Securities shown may not
reflect the price(s) you would receive upon a sale at auction or in a
secondary market transaction, and is not an indication of any offer to
purchase at such price. There can be no assurance that a successful
auction will occur or that a secondary market exists or will develop for
a particular security. The prices of any Auction Rate Securities in most
cases reflect par value, but may be derived from various sources. These
prices may differ from: prices provided to us or our affiliates by outside
pricing services; our affiliates' own internal bookkeeping valuations;
prices of transactions executed in any secondary market that exists or
may develop; and/or the prices at which issuer repurchases or
redemptions may occur.
Structured investments Risks and Considerations
Structured Investments (Structured Products) are complex products and
may be subject to special risks, which may include, but are not limited
to: loss of initial investment; issuer credit risk and price volatility
resulting from any actual or anticipated changes to issuer's and/or
guarantor's credit ratings or credit spreads; limited or no appreciation
and limits on participation in any appreciation of underlying asset(s);
risks associated with the underlying reference asset(s); no periodic
payments; call prior to maturity; early redemption fees for market
linked deposits; lower interest rates and/or yield compared to
conventional debt with comparable maturity; unique tax implications;
limited or no secondary market; and conflicts of interest due to
affiliation, compensation or other factors which could adversely affect
market value or payout to investors. Investors also should consider the
concentration risk of owning the related security and their total
exposure to any underlying asset. Structured Investments, which may
appear in various statement product categories and are identified on
the Position Description Details line as "Asset Class: Struct Inv," may
not perform in a manner consistent with the statement product
category where they appear and therefore may not satisfy portfolio
asset allocation needs for that category. When displayed, the accrued
interest, annual income and yield for structured investments with a
contingent income feature (e.g.. Range Accrual Notes and Contingent
income Notes) are estimates and assume specified accrual conditions
are met during the relevant observation period and payment in full of
all contingent interest. Actual accrued interest, annual income and yield
will be dependent upon the performance of the underlying asset(s) and
may be significantly lower than the estimates shown. For more
information on the risks specific to your Structured Investments, contact
your Financial Advisor,
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
Si PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SI PC protection. To obtain information about SI PC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Certain Assets Not Held at Morgan Stanley Smith Barney LLC
You may purchase certain assets through us that may be held at
another financial institution. Assets not held with us may not be
covered by SIPC protection. We may include information about certain
of these assets on this statement solely as a service to you and are not
responsible for any information provided by external sources. Generally,
any financial institution that holds securities is responsible for year-end
reporting (1099s) and separate periodic statements, which may vary
from our information due to different tax reporting periods. In the case
of networked mutual funds, we perform all year-end tax reporting.
Under certain circumstances, such as IRA accounts, we perform all tax
reporting.
Total Income
Total income, as used in the income summaries, represents dividends
and/or interest on securities we receive on your behalf and credit to
your account(s) during the calendar year. We report dividend
distributions and taxable bond interest credited to your account to the
Internal Revenue Service. The totals we report may differ from those
indicated as "This Year” figures on the last statement for the calendar
year. In the case of Real Estate Investment Trusts (REITs), Master
Limited Partnerships, Regulated investment Companies and Unit
Investment Trusts, some sponsors may reclassify the distribution to a
different tax type for year-end reporting.
Transaction Dates and Conditions
Transactions display trade date and settlement date. Transactions are
included on this statement on trade date basis (excluding BDP and
MMFs). Trades that have not settled as of statement month end will
also be displayed in the "Unsettled Purchases/Sales Activity" section.
Upon written request, we will give you the date and time of a
transaction and the name of the other party to a transaction. We and/or
our affiliates may accept benefits that constitute payment for order
flow. Details regarding these benefits and the source and amount of
any other remuneration received or to be received by us in connection
with any transaction will be furnished upon written request.
Tax and Legal Disclosure
Morgan Stanley does not provide legal or tax advice. Please consult
your own tax advisor.
Revised 10/2015
FOIA Confidential Treatment Requested
MS-USAO-0017909
CLIENT STATEMENT For the Period December 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT Paoe 4 of 24
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period
This Year
(12/1/15-12/31/15)
(1/1/15-12/31/15)
TOTAL BEGINNING VALUE
$2,062,051.63
$18,436,429.61
Credits
Debits
Security Transfers
Accrued Interest On Security Transfers
(151,543.69)
8,646,597.79
(8,839,701.69)
1,576,302.81
(519,225.00)
Net Credits/Debits/Transfers
$(151,543.69)
$863,973.91
Change in Value
(541,480.78)
(17,931,376.36)
TOTAL ENDING VALUE
$1,369,027.16
$1,369,027.16
ASSET ALLOCATION (includes accrued interest)
Market Value
Percentage
Cash
$0.08
0.00
Equities
1,369,027.08
100.00
TOTAL VALUE
$1,369,027.16
100.00%
FDIC rules apply and Bank Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash
and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures.
Values may include assets externally held , which are provided to you as a courtesy; and may not be
covered by SIPC. For additional information, refer to the corresponding section of this statement.
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
“““ Total Market Value Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net Invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
This asset allocation represents holdings on a trade date basis, and projected settled Cash/ BDP and
MMF balances. These classifications do not constitute a recommendation and may differ from the
classification of instruments for regulatory or tax purposes.
FOIA Confidential Treatment Requested
MS-USAO-0017910
CLIENT STATEMENT For the Period December 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT Paoe 5 of 24
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 11 /30/15)
This Period
(as of 12/31/15)
Cash, BDP, MMFs
$151,543.69
$0.08
Stocks
1,910,507.94
1,369,027.08
Total Assets
$2,062,051.63
$1,369,027.16
Total Liabilities (outstanding balance) — —
TOTAL VALUE $2,062,051.63 $1,369,027.16
CASH FLOW
This Period This Year
(12/1 /I 5-12/31/15) (1 /I /15-12/31/15)
OPENING CASH, BDP, MMFs
$151,543.69
$460,642.76
Purchases
Sales and Redemptions
Income and Distributions
008
(942,761.13)
675,189.23
33.12
Total Investment Related Activity
$0.08
$(267,538.78)
Checks Deposited
Electronic Transfers-Credits
Electronic Transfers-Debits
Other Credits
Other Debits
(151,543.69)
24,320.00
8,434,897.75
(7,552,064.38)
187,380.04
(187,380.04)
Total Cash Related Activity
$(151,543.69)
$907,153.37
Debit Card
Checks Written
Automated Payments
(697.23)
(491,698.20)
(607,861.84)
Total Card/Check Activity
—
$(1,100,257.27)
CLOSING CASH, BDP, MMFs
$0.08
$0.08
INCOME AND DISTRIBUTION SUMMARY
This Period
(12/1/15-12/31/15)
Interest _ $0.08
Total Taxable Income And Distributions $0.08
Total Tax-Exempt Income
TOTAL INCOME AND DISTRIBUTIONS
$0.08
This Year
(1/1/15-12/31/15)
$33.12
$33.12
$33.12
GAIN/(LOSS) SUMMARY
Realized This Period Realized This Year
_ (12/1/15-12/31/15) (1/1/15-12/31/15)
Short-Term Gain — $4,231.79
Short-Term (Loss) _•—_ (13,136.62)
Total Short-Term — $(8,904.83)
Unrealized
Inception to Date
(as of 12/31/15)
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account.
The Gain/(Loss) Summary , which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
FOIA Confidential Treatment Requested
MS-USAO-0017911
Morgan Stanley
CLIENT STATEMENT I For the Period December 1 -31, 2015 PRIVATE WEALTH MANAGEMENT Page 6 of 24
Investment Objectives?: Speculation, Capital Appreciation, Income, Aggressive Income Brokerage Account
f Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
HOLDINGS
This section reflects positions purchased/sold on a trade date basis. "Market Value " and "Unrealized Gain/(Loss)" may not reflect the value that could be obtained in the market. Fixed Income securities are sorted
by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income a) is calculated on a pre-tax basis, b) does not include any reduction for applicable non-US withholding taxes, c) may
include return of principal or capital gains which could overstate such estimates, and d) for securities that have a defined maturity date within the next 12 months, is reflected only through maturity date. Actual
income or yield may be lower or higher than the estimates. Current yield reflects the income generated by an investment, and does not reflect changes in its price. Structured Investments, identified on the
Position Description Details line as "Asset Class: Struct Inv," may appear in various statement product categories. When displayed, the accrued interest, annual income and current yield for those with a
contingent income feature (e.g., Range Accrual Notes or Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of ail contingent
interest. For Floating Rate Securities, the accrued interest, annual income and current yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program , and Money Market Funds are generally displayed on a settlement date basis. You have the right to instruct us to liquidate your bank deposit bafance(s) or shares of any money market
fund balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions.
Description _
MORGAN STANLEY BANK N.A. #
Market Value
$0.08
7-Day
Current Yield % Est Ann Income APY %
—a ———————m m m wmmmmmmm W mm »■■—» ■ — — M m — m — ■
— — 0.010
Percentage
of Holdings _ Market Value _ Est Ann Income
CASH, BDP, AND MMFs
0 . 00 %
$0.08
$ 0.00
# Bank Deposits are held at Morgan Stanley Bank, N.A. and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC and each a national bank and FDIC member.
STOCKS
COMMON STOCKS
Security Description _
CODE REBEL CORF COM RST
In Safekeeping: 510,831.000; Asset Class: Equities
Trade Date
Quantity
Unit Cost Share Price
Total Cost
Market Value
Unrealized
Gain/(Loss)
Current
Est Ann Income Yield %
510,831.000
$2,680
Please Provide
$1,369,027.08
N/A
Percentage
of Holdings
STOCKS
100 . 00 %
Total Cost _ Market Value
$0.00 $1,369,027.01
Unrealized
Gain/(Loss)
$0.00 ST
Current
Est Ann Income Yield %
$ 0.00 —
FOIA Confidential Treatment Requested
MS-USAO-0017912
CLIENT STATEMENT For the Period December 1 -31, 2015
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT Paae 7 ©f 24
Percentage
of Holdin
Unrealized
Est Ann Income Current
Accrued Interest Yield %
TOTAL MARKET VALUE
$ 0.00
$1,369,027.16
$0.00 ST
$ 0.00
$ 0.00
TOTAL VALUE (includes accrued interest)
100 . 00 %
$1,369,027.16
Unrealized Gain/(Loss) totals only reflect positions that have both cost basis and market value information available. Cash , MMF, Deposits and positions stating 'Please Provide' are not included.
ALLOCATION OF ASSETS
Cash
Equities
Fixed Income &
Preferred Securities
Alternatives
Annuities &
Insurance
Structured
Investments
Other
Cash, BDP, MMFs
Stocks
$0.08
$1,369,027.08
TOTAL ALLOCATION OF ASSETS
$0.08
$1,369,027.08
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
CreditsZ(Debits)
12/2
12/2
Funds Transferred
WIRED FUNDS SENT
BENE: PERSHING LLC
ACCT: XXXXXX2385
$(151,543.69)
12/3
12/3
Interest Income
MORGAN STANLEY BANK N.A.
0,08
12/4
12/4
Automated Payment-Adj
CK# OOOOOO RETURNED
AUTOMATIC BILL PAYMENT
906.74
12/4
12/4
Automated Payment
J CONDOMINIUM SO
AUTOMATIC BILL PAYMENT
(906.74)
12/9
12/9
Automated Payment-Adi
CK# OOOOOO RETURNED
AUTOMATIC BILL PAYMENT
1,326.48
12/9
12/9
Automated Payment
BANK OF THE WEST
AUTOMATIC BILL PAYMENT
(1,326 48)
12/30
12/30
Automated Payment-Adj
CK# OOOOOO RETURNED
AUTOMATIC BILL PAYMENT
3,000.00
12/30
12/30
Automated Payment
BANK OF AMERICA
AUTOMATIC BILL PAYMENT
.(3,000.00)
NET CREDITS/(DEBITS)
$(151,543.61)
FOIA Confidential Treatment Requested
MS-USAO-0017913
TOTAL AUTOMATED PAYMENTS
$0.00
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
—.— e
Description
Credits/(Debits)
Automated Payment
Automated Payment
BANK OF AMERICA
BANK OF THE WEST
12/3 Automatic Redemption BANK DEPOSIT PROGRAM
$(151,543.69)
12/7 Automatic Investment
BANK DEPOSIT PROGRAM
0 08
12/9 Automatic Redemption BANK DEPOSIT PROGRAM
(0.08)
12/10 Automatic I nvestment
BANK DEPOSIT PROGRAM
0.08
12/30 Automatic Redemption BANK DEPOSIT PROGRAM
12/31 Automatic Investment BANK DEPOSIT PROGRAM
008
NET ACTIVITY FOR PERIOD
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
$(151,543.61)
AUTOMATED PAYMENTS
Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date of
Payment
Date
Paid
Activity T
Automated Payment-Adj
Automated Payment
Payee
CK# 000000 RETURNED
J CONDOMINIUM SO
Automated Payment-Adj
Automated Payment-Adi
CK# 000000 RETURNED
CK# 000000 RETURNED
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
Statement of Financial Condition (In Millions of Dollars)
At June 30, 2015 Morgan Stanley Smith Barney LLC had net capital of $5,031 which exceeded the Securities and Exchange Commission's minimum requirement by $4,868. A copy of the Morgan Stanley Smith
Barney LLC Consolidated Statement of Financial Condition at June 30, 2015 can be viewed online at: http://www.morganstanley.com/about-us-ir/shareholder/morganstanley_smithbarney_llc.pdf or may be mailed to
you at no cost by calling 1 (866) 825-1675, after September 15, 2015.
FINRA BrokerCheek
FINRA has established the public disclosure program, known as BrokerCheek, to provide certain information regarding the disciplinary history of FINRA members and their associated persons. The BrokerCheek Hotline
Number is 1-800-289-9999. The FINRA web site address is www.finra.org. An investor brochure that includes information describing FINRA BrokerCheek may be obtained from FINRA.
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FOIA Confidential Treatment Requested
MS-USAO-0017914
CLIENT STATEMENT For the Period December 1 -31, 2015
DEBIT CARD & CHECKING ACTIVITY
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 8 of 24
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT Pao@ 9 of 24
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We are pleased to enclose your 2015 Recap of Cash Management Activity. This section includes a summary of your electronic transfers, checking and card activity for the year (including
ATM transactions, automated payments and Bilipay), and security transfers.
Information related to Income, Distributions, Purchases, Sales, and Redemptions will be provided to accounts subject to IRS reporting on Forms 1099 in the Consolidated Tax Package.
For your convenience, this Recap is also available as a separately retrievable document on Morgan Stanley Online under Statements within the Account Documents tab.
We recommend that you wait for your IRS Form(s) 1099 before completing your tax returns. This Recap is not a substitute for the official account statements that you have received
from us throughout the year; and is for informational purposes only to provide you with a recap of your cash management activity. If there are any discrepancies between your account
statement(s) and the information in this Recap, you should rely on the account statement(s) you have previously received.
CASH RELATED ACTIVITY
CHECKS DEPOSITED
Transaction Settlement
Date Date
Description
TOTAL CHECKS DEPOSITED
Comments
I nflows/(Qutflows)
7/17
7/17
Check Deposit
FUNDS RECEIVED
$9,320.00
11/10
11/10
Check Deposit
FUNDS RECEIVED
15,000.00
$24,320.00
ELECTRONIC TRANSFERS (CREDITS)
Transaction Settlement
Date Date Activity Type
Description
Comments
lnfflows/(Outflows)
1/6
1/6
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
$47,249.07
1/15
1/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
1/15
1/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
2/2
2/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 32958567
FROM 654-028318
50,000.00
2/9
2/9
Funds Received
WIRED FUNDS RECEIVED
BANK OF CHINA
BOHAI HARVEST RST (SHANGHAI) E
2,451.74
2/11
2/11
Funds Received
WIRED FUNDS RECEIVED
WESTERN ALLIANCE BANK
REISSUED INC
25,000.00
2/17
2/17
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
2/17
2/17
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
FOIA Confidential Treatment Requested
MS-USAO-0017915
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH MANAGEMENT Paae 10 of 24
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CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (CREDITS) (CONTINUED)
Transaction
Settlement
Date
Date
Activity Type
Description
Comments
Infiows/COutflows)
2/26
2/26
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 33623943
50,000.00
FROM 654-028318
3/2
3/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 33973595
FROM 654-028320
10,000.00
3/2
3/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 33941863
3,000.00
FROM 654-028318
3/5
3/5
Cash Transfer - Credit
FUNDS TRANSFERRED
CONFIRMATION # 34087045
FROM 654-028320
1,000.00
3/10
3/10
Cash Transfer - Credit
FUNDS TRANSFERRED
CONFIRMATION # 34190401
FROM 654-028320
1,400.00
3/11
3/11
Online Transfer
TRANSFER AS OF 03/10
CONFIRMATION # 34203444
107,458.38
FROM 654-028320
3/16
3/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
3/16
3/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
3/16
3/16
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 34381044
107,459.01
FROM 654-028320
3/17
3/17
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 34408422
FROM 654-028318
50,000.00
3/24
3/24
Funds Received
WIRED FUNDS RECEIVED
BANK OF AMERICA NA NY
BURNHAM SECURITIES INC.
251,000.00
4/13
4/13
Funds Received
WIRED FUNDS RECEIVED
DEUTSCHE BANK TRUST COMPANY AM
ALIXPARTNERS LLP
3,014,236.00
4/15
4/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
4/15
4/15
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
4/24
4/24
Funds Received
WIRED FUNDS RECEIVED
JPMORGAN CHASE BANK
THORSDALE FIDUCIARY AND GUARAN
100,000.00
5/7
5/7
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 36370985
70,000.00
FROM 654-028322
5/7
5/7
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 36371043
50,000.00
FROM 654-028318
5/18
5/18
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
5/18
5/18
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
83,333.33
BURISMA HOLDINGS LIMITED
FOIA Confidential Treatment Requested
MS-USAO-0017916
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT Paciell of 24
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CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (CREDITS) (CONTINUED)
Transaction Settlement
Date Date Activity Type
Description
Comments
Inflows/COutflows)
6/1
6/8
Cash Transfer - Credit
FUNDS TRANSFERRED
CONFIRMATION # 37464968
FROM 654-031879
60,000.00
6/9
6/9
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
3,668.47
6/18
6/1
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
6/19
6/19
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
7/1
7/1
Cash Transfer - Credit
FUNDS TRANSFERRED
CONFIRMATION # 38505639
FROM 654-031879
63,000.00
7/9
7/9
Cash Transfer - Credit
FUNDS TRANSFERRED
CONFIRMATION # 38895019
FROM 654-031879
20,000.00
7/16
7/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
7/16
7/16
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
7/24
7/24
Cash Transfer - Credit
FUNDS TRANSFERRED
CONFIRMATION # 39721486
FROM 654-031879
50,000.00
7/28
7/2
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
60,554.53
8/4
8/4
Funds Received
WIRED FUNDS RECEIVED
UBS AG
1/VALORLIFE LEBENSVERSICHERUNG
7,645.30
8/19
8/19
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
8/19
8/19
Funds Received
WiRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
1/21
8/21
Funds Received
WIRED FUNDS RECEIVED
CENTURY BANK
ROSEMONT PROPERTY MGT LLC
188,616.56
8/25
1/25
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 41060936
FROM 654-031822
50,000.00
8/25
8/25
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 41060827
FROM 654-028322
200.00
9/10
9/10
Funds Received
WIRED FUNDS RECEIVED
CITY NATIONAL BANK
MBLOOM BDC ADVISOR LLC
275,000.00
9/17
9/17
Funds Received
WiRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
9/17
9/17
Funds Received
WIRED FUNDS RECEIVED
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
FOIA Confidential Treatment Requested
MS-USAO-0017917
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aa@ <|2 of 24
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9 9 9
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9 9 9
9 9 9
ft W
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
A A ft
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
A A ft
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
w w w
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
w w w
9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
w W W
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
w W W
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
w W W
w w ^
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
w W W
* 9 9 9 9
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (CREDITS) (CONTINUED)
Transaction Settlement
Pate Date Activity Type
9/18
9/1
Funds Received
Description
WIRED FUNDS RECEIVED
9/30
9/30
Funds Received
WIRED FUNDS RECEIVED
9/30
9/30
Funds Received
WIRED FUNDS RECEIVED
9/30
9/30
Funds Received
WIRED FUNDS RECEIVED
10/1
10/1
Funds Received
WIRED FUNDS RECEIVED
10/2
10/2
Funds Received
WIRED FUNDS RECEIVED
10/2
10/2
Online Transfer
FUNDS TRANSFERRED
10/16
10/16
Funds Received
WIRED FUNDS RECEIVED
10/16
10/16
Funds Received
WIRED FUNDS RECEIVED
10/16
10/16
Funds Received
WIRED FUNDS RECEIVED
10/16
10/16
Funds Received
WIRED FUNDS RECEIVED
10/19
10/19
Funds Received
WIRED FUNDS RECEIVED
10/23
10/23
Cash Transfer - Credit
FUNDS TRANSFERRED
10/28
10/28
Funds Received
WIRED FUNDS RECEIVED
11/3
11/3
Funds Received
WIRE FUNDS RCVD AS OF 11 -02-15
11/5
11/5
Funds Received
WIRE FUNDS RCVD AS OF 11 -04-15
11/12
11/12
Cash Transfer - Credit
FUNDS TRANSFERRED
11/12
11/12
Funds Received
WIRED FUNDS RECEIVED
TOTAL ELECTRONIC TRANSFERS (CREDITS)
Comments
Inflows/COutflows)
FIRST REPUBLIC BANK
RSTP MANAGEMENT LLC
18,000.00
FIRST BANK
FRANCISCO JOSE MARTIN
39,000.00
JPMCLEARING CORP
SEYMOUR CAPITAL LTD
27,000.00
JPMCLEARING CORP
THUNDER VALLEY ENGINEERING LTD
26,000.00
US BANCORP TRUST NATIONAL ASSO
WAKPAMNI LAKE COMMUNITY CORPOR
903,000.00
PERSHING LLC
THUNDER VALLEY ENGINEERING LTD
86,000.00
CONFIRMATION # 42796339
FROM 654-028322
12 , 000.00
ANKOF AMERICA NA NY
WRNHAM FINANCIAL GROUP INC.
750,000.00
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
83,333.33
AS PRIVATBANK
BURISMA HOLDINGS LIMITED
4,737.5
NORVIK BANKA JSC
1/AS ’NORVIK BANKA'
10,214.94
CONFIRMATION # 43470299
FROM 654-031880
20,140.00
NORVIK BANKA JSC
1/AS 'NORVIK BANKA'
7,888.62
CITIBANK NA NYBD CITICORP DATA
DEVON D ARCHER
140,000.00
BANK OF CHINA
BHR HAH LLC
875.10
CONFIRMATION # 44371028
FROM 654-031880
425.05
NORVIK BANKA JSC
1/AS 'NORVIK BANKA'
4,010.80
$8,434,897.75
FOIA Confidential Treatment Requested
MS-USAO-0017918
CLIENT STATEMENT
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (DEBITS)
Transaction Settlement
Date _ Date _ Activity Type _ Description __
1/6 1/6 Funds Transferred WIRED FUNDS SENT
1/6 1/6 Online Transfer FUNDS TRANSFERRED
l7s 1/8 Funds Transferred WIRED FUNDS SENT
1/21 1/21 Cash Transfer - Debit FUNDS TRANSFERRED
1/21 1/21 Funds Transferred WIRED FUNDS SENT
1/22 1/22 Fm"ds^Transfe7red “ WIRED FUNDS SENT
1/22 1/22 Funds Transferred WIRED FUNDS SENT
1/23 1/23 Funds Transferred WIRED FUNDS SENT
T/26 V26 Online Transfer FUNDS TRANSFERRED
T/27 1/27 Funds Transferred WIRED FUNDS SENT
1/30 1/30 Funds Transferred WIRED FUNDS SENT
2/2 2/2 On line Transfer TRANSFER AS OF 01/31
2/3 2/3 Funds Transferred WIRED FUNDS SENT
2/6" 2/6 Funds Transferred WIRED FUNDS SENT
2/10 2/10 Online Transfer FUNDS TRANSFERRED
2/17 2/17 Funds Transferred WIRED FUNDS SENT
2/23 2/23 Funds Transferred WIRED FUNDS SENT
2/23 2/23 Online Transfer FUNDS TRANSFERRED
2/25 2/25 Funds Transferred WIRED FUNDS SENT
FOIA Confidential Treatment Requested
Comments
BENE: DEVON ARCHER
ACCT: XXXX3683
CONFIRMATION # 32020852
TO 654-028322
BENE: ROBERT BIDEN
ACCT: XXXXX5452
CONFIRMATION # 32436149
TO 654-029324
BENE: RSTP CAPITAL
ACCT: XXXXXX2742
BENE: ARCADIA RESOURCES INVEST
ACCT: XXXXXX1978
BENE: ROBERT BIDEN
ACCT: XXXXX5452
BENE: DMITRIY DOROGAN
ACCT: XXXXXX1282
CONFIRMATION # 32564340
TO 654-028322
BENE: BGW CONSULTING CORP INC
ACCT: XXXXXXXX2981
BENE: ROBERT BIDEN
ACCT: XXXXX5452
CONFIRMATION # 32798186
TO 654-028318
BENE: DMITRY DOROGAN
ACCT: XXXXXX1282
BENE: ROBERT BIDEN
ACCT: XXXXX5452
CONFIRMATION # 33188552
TO 654-028322
BENE: THE WOLFF LAW FIRM
ACCT: XXXXXX1758
BENE: ROBERT BIDEN
ACCT: XXXXX5452
CONFIRMATION # 33514445
TO 654-028322
BENE: THE LEXVEST GROUP LLC
ACCT: XXXX0975
lnflows/(Outflow$)
$(123,727.33)
( 10 , 000 . 00 )
( 10 , 000 . 00 )
( 10 , 000 . 00 )
(25,000.00)
(30,500.00)
(15,000.00)
(1,500.00)
(41,000.00)
(18,600.00)
(15,000.00)
(50,000.00)
(1,500.00)
(15,000.00)
(1,300.00)
(6,300.00)
(15,000.00)
(5,000.00)
(7,440.00)
MS-USAO-0017919
CLIENT STATEMENT
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (DEBITS) (CONTINUED)
Transaction Settlement
Pate Date _ Activity Type _ Description _
2/26 2/26 Online Transfer FUNDS TRANSFERRED
2/27 2/27 Cash Transfer-“Debit FUNDS TRANSFERRED
3/2 3/2 Funds Transferred WIRED FUNDS SENT
3/12 3/12 Cash Transfer - Debit FUNDS TRANSFERRED
3/16 3/16 Online Transfer FUNDS TRANSFERRED
3/17 3/17 Funds Transferred WIRED FUNDS SENT
3/17 3m Funds Transferred WIRED FUNDS SENT
3/17 3/17 Funds Transferred WIRED FUNDS SENT
3/17 3/17 Online Transfer FUNDS TRANSFERRED
3/24 3/24 Funds Transferred WIRED FUNDS SENT
3/25 3/25 Cash Transfer - Debit FUNDS TRANSFERRED
3/25 3/25 Funds Transferred WIRED FUNDS SENT
3/26 3/26 Online Transfer FUNDS TRANSFERRED
3/30 3/30 Funds Transferred WIRED FUNDS SENT
3/30 3/30 Funds Transferred WIRED FUNDS SENT
3/30 3/30 Funds Transferred WIRED FUNDS SENT
4/2 4/2 Funds Transferred WIRED FUNDS SENT
4/2 4/2 Funds Transferred WIRED FUNDS SENT
4/6 4/6 Funds Transferred WIRED FUNDS SENT
FOIA Confidential Treatment Requested
Comments
CONFIRMATION # 33623921
TO 654-028318
CONFIRMATION # 33752601
TO 654-029324
BENE: ROBERT BIDEN
ACCT: XXXXX5452
CONFIRMATION # 34243664
TO 654-028320
CONFIRMATION # 34381051
TO 654-028322
BENE: BGW CONSULTING CORP INC.
ACCT: XXXXXXXX2981
BENE: ZEMKA ZETA LLC
ACCT: XXXXXX6722
BENE: ANNA KASHUBA
ACCT: XXXXXXXX1531
CONFIRMATION # 34408402
TO 654-028318
BENE: PERSHING LLC
ACCT: XXXXXX2385
CONFIRMATION # 34608260
TO PLA 754 XXXX905
BENE: RAYMOND DESROSIERS
ACCT: XXXXXXXX0064
CONFIRMATION # 34655916
TO 654-028322
BENE: BGW CONSULTING CORP.
ACCT: XXXXXXXX2981
BENE: MCG AUTOMOTIVE LLC
ACCT: XXXXXX0802
BENE: RAYMOND DESROSIERS
ACCT: XXXXXXXX0064
BENE: THE LEXVEST GROUP LLC
ACCT: XXXXXXXX0064
BENE: MCG AUTOMOTIVE LLC
ACCT: XXXXXX0802 _
BENE: ROBERT BIDEN
ACCT: XXXXX5452
lnflows/(Outflows)
(50,000.00)
(127,173.74)
( 10 , 000 . 00 )
(107,458.38)
(3,000.00)
( 10 , 000 . 00 )
(9,500.00)
( 2 , 000 . 00 )
(50,000.00)
( 20 , 000 . 00 )
(251,000.00)
( 1 , 000 . 00 )
( 6 , 000 . 00 )
(65,000.00)
(2,550.00)
(1,150.00)
(880.00)
(700,00)
( 20 , 000 . 00 )
MS-USAO-0017920
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH MANAGEMENT p aae 15 s f 24
• w w
9 9 9
999
999
* •
999
• •
WWW
999
999
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
• w w
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
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9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
wrw
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
999
999
999
999
• •
” ™ *
999
9 9 9
9 9 9
999
999
999
999
ft ft ft
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
ft w
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
ft W
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
ft W
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
A A ft
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
A A ft
• » »
999
999
999
999
999
999
WWW
9 9
999
999
999
999
999
999
w W W
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
w W W
9 9
999
999
999
999
999
999
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
w W W
999
999
999
999
999
999
999
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
w W W
w m ~
999
999
999
999
999
999
999
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
w W W
w w ^
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
w W W
* 9 9 9 9
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (DEBITS) (CONTINUED)
Transaction
Settlement
Date
Date
Activity Type
Description
Comments
Infiows/COutflows)
Ail
4/7
Funds Transferred
WIRED FUNDS SENT
BENE: THE WOLFF LAW FIRM
(6,580.00)
ACCT: XXXXXX1758
4/10
4/10
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 35331152
TO 654-028322
(2,500.00)
4/13
4/13
Cash Transfer - Debit
FUNDS TRANSFERRED
CONFIRMATION # 35401184
TO 654-028320
(3,014,236.00)
4/14
4/14
Funds Transferred
WIRED FUNDS SENT
BENE: BGW CONSULTING CORP. INC
ACCT: XXXXXXXX2981
(15,000.00)
4/14
4/14
Funds Transferred
WIRED FUNDS SENT
BENE: WILFREDO MERCADO
ACCT: XXXXXX7281
(2,603.66)
4/14
4/14
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 35444914
TO 654-028322
( 6 , 000 . 00 )
4/24
4/24
Cash Transfer - Debit
FUNDS TRANSFERRED
CONFIRMATION # 35780891
TO PLA 754 XXXX905
( 100 , 000 . 00 )
4/29
4/29
Funds Transferred
WIRED FUNDS SENT
BENE: BGW CONSULTING CORP. INC
ACCT:XXXXXXXX2981
(15,060.00)
5/6
5/6
Funds Transferred
WIRED FUNDS SENT
BENE: MCG AUTOMOTIVE LLC
ACCT: XXXXXX0802
(2,700.00)
5/7
5/7
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 36371016
TO 654-028318
(50,000.00)
5/8
5/8
Funds Transferred
WIRED FUNDS SENT
BENE: BOND NEW YORK PROPERTIES
ACCT: XXXXXXXX0850
(3,365.00)
5/8
5/8
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 36411151
TO 654-028322
(561.93)
5/11
5/11
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 36446310
TO 654-028322
(2,746.64)
5/13
5/13
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX5452
(15,000.00)
5/15
5/15
Funds Transferred
WIRED FUNDS SENT
BENE: BOND NEW YORK PROPERTIES
ACCT: XXXXXXXX0850
(12,457.05)
5/18
5/18
Funds Transferred
WIRED FUNDS SENT
BENE: OWASCO PC
ACCT: XXXXXX5142
(5,000.00)
6/4
6/4
Cash Transfer - Debit
FUNDS TRANSFERRED
CONFIRMATION # 37384357
TO 654-028322
(100 00 )
6/8
6/8
Funds Transferred
WIRED FUNDS SENT
BENE: ROSEMONT PROPERTY MANAGE
ACCT: XXXX5149
( 20 , 000 . 00 )
6/8
6/8
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
(15,000.00)
ACCT:XXXXX5452
FOIA Confidential Treatment Requested
MS-USAO-0017921
CLIENT STATEMENT
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (DEBITS) (CONTINUED)
Transaction Settlement
Date Date _ Activity Type _ Description _
6/10 6/10 Funds Transferred WIRED FUNDS SENT
6/15 6/15 Cash Transfer-“Debit FUNDS TRANSFERRED
6/15 6/15 Funds Transferred WIRED FUNDS SENT
6/23 6/23 Funds Transferred WIRED FUNDS SENT
6/24 6/24 Funds Transferred WIRED FUNDS SENT
6/26 6/26 Funds Transferred WIRED FUNDS SENT
6/29 6/29 Funds Transferred WIRED FUNDS SENT
7/2 7/2 Cash Transfer - Debit FUNDS TRANSFERRED
7/2 7/2" Funds Transferred WIRED FUNDS SENT
7/9 7/9 Funds Transferred WIRED FUNDS SENT
7/16 7/16 Funds Transferred WIRED FUNDS SENT
7/17 7/17 Funds Transferred WIRED FUNDS SENT
7/24 7/24 Funds Transferred WiRED FUNDS SENT
7/24 7/24 Funds Transferred WIRED FUNDS SENT
7/30 7/30 Funds Transferred WIRED FUNDS SENT
7/30 7730 Funds Transferred WIRED FUNDS SENT
7/30 7/30 Online Transfer FUNDS TRANSFERRED
8/3 8/3 Funds Transferred WiRED FUNDS SENT
8/3 ”8/3 Online Transfer FUNDS TRANSFERRED
FOIA Confidential Treatment Requested
Comments
BENE: MCG AUTOMOTIVE LLC
ACCT: XXXXXX0802
CONFIRMATION # 37683979
TO 654-028322
BENE: FIRST CLEARING LLC
ACCT:XXXXXX3377
BENE: ROBERT BIDEN
ACCT: XXXXX5452
BENE: CALIBER HOME LOANS
ACCT: XXXXXX3793
BENE: TE SYSTEMS INC.
ACCT: XXXXXX0114
BENE: RONTEKS EXPORT LP
ACCT: XXXXXXXXXXXXXXXXX6851
CONFIRMATION # 38612862
TO 654-032275
BENE: WELLS FARGO ADVISORS
ACCT: XXXXXX5142
BENE: ROBERT BIDEN
ACCT: XXXXX5452
BENE: THE WOLFF LAW FIRM TRUST
ACCT: XXXXXX8399
BENE: ROBERT BIDEN
ACCT: XXXXX0876
BENE: ROBERT BIDEN
ACCT: XXXXX8378
BENE: PERSHING LLC
ACCT: XXXXXX2385
BENE: ROBERT BIDEN
ACCT: XXXXX0876
BENE: MCG AUTOMOTIVE LLC
ACCT: XXXXXX0802
CONFIRMATION # 40013543
TO 654-031822
BENE: OWASCO PC
ACCT: XXXXXX5142
CONFIRMATION # 40364817
TO 654-028322
lnflows/(Outflows)
(1,400.00)
( 100 . 00 )
(3,668.47)
(15,000.00)
(30,753.01)
(9,284.06)
(22,500.00)
(125,000.00)
(5,000.00)
( 20 , 000 . 00 )
(6,580.00)
(19,000.00)
(97,979.00)
( 20 , 000 . 00 )
(14,000.00)
(1,500.00)
( 10 , 000 . 00 )
(5,000.00)
(126.80)
MS-USAO-0017922
CLIENT STATEMENT
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (DEBITS) (CONTINUED)
Transaction Settlement
Date Date _ Activity Type _ Description _
8/6 8/6 Funds Transferred WIRED FUNDS SENT
mo 8/10 Funds Transferred WIRED FUNDS SENT
8/13 8/13 Funds Transferred WIRED FUNDS SENT
8/21 8/21 Online Transfer FUNDS TRANSFERRED
8/24 8/24 Funds Transferred WIRED FUNDS SENT
8/24 8/24 Funds Transferred WIRED FUNDS SENT
8/25 8/25 Online Transfer FUNDS TRANSFERRED
8/26 8/26 Funds Transferred WIRED FUNDS SENT
8/26 8/26 Funds Transferred WIRED FUNDS SENT
8/31 8/31 Funds Transferred WIRED FUNDS SENT
9/1 9/1 Funds Transferred WIRED FUNDS SENT
9/1 9/1 Online Transfer FUNDS TRANSFERRED
9/3 9/3 Funds Transferred WiRED FUNDS SENT
919 9/9 Funds Transferred WIRED FUNDS SENT
9/14 9m Funds Transferred WIRED FUNDS SENT
9/16 9/16 Funds Transferred WIRED FUNDS SENT
9/16 9/16 Funds Transferred WIRED FUNDS SENT
9/24 9/24 Funds Transferred WiRED FUNDS SENT
9/28 9/28 Online Transfer FUNDS TRANSFERRED
FOIA Confidential Treatment Requested
Comments
BENE: STEVE ARCURI
ACCT: XXXXX3630
BENE: MAGZHAN KENESBAI
ACCT: XXXXXX5007
BENE: ROBERT BIDEN
ACCT: XXXXX0876
CONFIRMATION # 40964826
TO 654-028322
BENE: BGW CONSULTING CORP, INC
ACCT: XXXXXXXX2981
BENE: O.G. DESIGNS
ACCT: XXXXXX6758
CONFIRMATION # 41060876
TO 654-031822
BENE: MFTCG HOLDINGS LLC BIDEN
ACCT: XXXXXXXX2092
BENE: STEVE ARCURI
ACCT: XXXXX3630
BENE: ROBERT BIDEN
ACCT: XXXXX0876
BENE: OWASCO, PC
ACCT: XXXXXX5142
CONFIRMATION # 41496424
TO 654-031822
BENE: ROBERT BIDEN
ACCT: XXXXX0876
BENE: LEXVEST GROUP
ACCT: XXXX0975
BENE: MCG AUTOMOTIVE LLC
ACCT: XXXXXX0802
BENE: ROBERT BIDEN
ACCT: XXXXX0876
BENE: SEBASTIAN MOMTAZI
ACCT: XXXXX9111
BENE: THE WOLFF LAW FIRM TRUST
ACCT: XXXXXX8399
CONFIRMATION # 42345599
TO 654-028322
Inflows/fOutflows
(2,500.00)
(800 00)
(19,000.00)
(66.70)
(40,000.00)
(8,302.50)
(50,000.00)
(150,000.00)
(3,000.00)
(14,000.00)
(5,000.00)
( 10 , 000 . 00 )
(5,000.00)
(5,000.00)
(1,300.00)
(19,000.00)
(15,000.00)
( 100 , 000 . 00 )
( 12 , 000 . 00 )
MS-USAO-0017923
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p a£se -fg 0 f 24
• w w
9 9 9
999
999
* •
999
• •
WWW
999
999
WWW
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
• 99
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
WWW
9 9 9
9 9 9
• w w
9 9 9
9 9 9
9 9 9
9 9 9
9 9 9
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CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (DEBITS) (CONTINUED)
Transaction Settlement
Date Date Activity Type
Description
Comments
Inflows/COutflows)
9/30
9/30
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(19,000.00)
10/1
10/1
Funds Transferred
WIRED FUNDS SENT
BENE: BURNHAM FINANCIAL GROUP
ACCT: XXXXXXXX4969
(750,000.00)
10/1
10/1
Funds Transferred
WIRED FUNDS SENT
BENE: BURNHAM FINANCIAL GROUP
ACCT: XXXXXXXX4969
(198,000.00)
10/1
10/1
Funds Transferred
WIRED FUNDS SENT
BENE: BURNHAM FINANCIAL GROUP
ACCT: XXXXXXXX4969
(150,000.00)
10/2
10/2
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION # 42796396
TO 654-031822
( 12 , 000 . 00 )
10/5
10/5
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(15,000.00)
10/12
10/12
Cash Transfer - Debit
CASH ADJUSTMENT
REV INCOMING WIRE
(903,000.00)
10/19
10/19
Funds Transferred
WIRED FUNDS SENT
BENE: ROBERT BIDEN
ACCT: XXXXX0876
(6,333.40)
10/22
10/22
Online Transfer
FUNDS TRANSFERRED
CONFIRMATION #43415091
TO 654-031822
(7,000.00)
10/23
10/23
Funds Transferred
WIRED FUNDS SENT
BENE: ARCADIA RESOURCES INVEST
ACCT: XXXXXX1978
(20,137.02)
11/24
11/24
Funds Transferred
WIRED FUNDS SENT
BENE: REPUTATION COM INC.
ACCT: XXXXXX5404
(25,000.00)
12/2
12/2
Funds Transferred
WIRED FUNDS SENT
BENE: PERSHING LLC
ACCT: XXXXXX2385
(151,543.69)
TOTAL ELECTRONIC TRANSFERS (DEBITS)
OTHER CREDITS
Transaction Settlement
Date _ Date _ Activity Type
Description
Comments
$(7,552,064.38)
Inflows/COutflows)
5/18
5/18
Other Cred its
BANK DEPOSIT PROGRAM
$187,380.04
TOTAL OTHER CREDITS
$187,380.04
OTHER DEBITS
Transaction Settlement
Date Date Activity Type
Description
Comments
Inflows/COutflows)
5/1
5/18
Other Debits
BANK DEPOSIT PROGRAM
$(187,380.04)
TOTAL OTHER DEBITS
TOTAL CASH RELATED ACTIVITY
$(187,380.04)
$ 907 , 153.37
FOIA Confidential Treatment Requested
MS-USAO-0017924
CLIENT STATEMENT
Date off
Activi
5/7
Date
Paid
5/8
Description
MICHAEL ACERRA GOLF
Location/Phone
PLANDOME NY
Date off
Activi
28
29
29
29
Date
Paid
4/29
4/30
5/1
4/30
5/4
5/5
5/6
5/7
5/11
Description
TROPIC JUICE BAR & GRI
SQ * AMPLE HILLS GOWANU
YANKEE STDM LEGENDS CL
NIGHTINGALE 9
TROPIC JUICE BAR & GRI
TROPIC JUICE BAR & GRI
TROPIC JUICE BAR & GRI
FRANKIES SPUNTINO
GREENS IRISH PUB
Location/Phone
BROOKLYN NY
BROOKLYN NY
BRONX NY
BROOKLYN NY
BROOKLYN NY
BROOKLYN NY
BROOKLYN NY
BROOKLYN NY
MAN HASS ET NY
Date off
Activi
4/25
Date
Paid
4/27
Description
SCOTTOS
Location/Phone
HAMPTON BAYS NY
TOTAL RETAIL STORES
TOTAL DEBIT CARD - DEVON ARCHER
TOTAL DEBIT CARD
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 19 of 24
Active Assets Account
■■IHHilB
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00000000900 000000000000000000000000000000000000000000
090009000900990009900000090009900000000009000000090000
0 0 0 0 090000090009090900999090999990099090999909009009000
0 9 U 00000000000099 » A 0090090009000000 ^t0 000009990009
Credits/(Debits
$(37.77'
$(37.77)
Credits/CDebits
$(25.00)
$(70.00)
Credits/CDebits
$(25.59)
( 11 . 01 )
(103.19;
_(25.59)
(13.79)
(25.59)
(237.07)
$(498.87)
Credits/ffDebits
$(90.59'
$(90.59)
$(697.23)
$(697.23)
MS-USAO-0017925
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p aCj@ 20 of 24
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ft ft ft
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f * » ft r
*••*•••**•***•**»•***•***•***•***•***•***•***•***•***•***•***•**••***•*«
DEBIT CARD/CHECK ACTIVITY
CHECKS WRITTEN
CHECKS WITH NO CODE
Date
Written
Date
Paid
Check Number
Activity Type
Payee Expense Category
Credits/(Debit$)
12/18
2/23
1036
Check
CIRSD
$(25,000.00)
1/8
1/13
1039
Check
DANIEL GRELLA
(6,000.00)
1/8
1/13
1040
Check
DOMINICK GRELLA
(6,000.00)
1/8
1/12
1041
Check
EPC GRP INC
(9,000.00)
1/12
1/21
1042
Check
U S TREASURY
(200,000.00)
1/12
1/21
1043
Check
THE TOLL ROADS VIOLATION DEPT
(1,580.13)
1/12
1/20
1044
Check
JESSUP LANDSCAPING INC
(3,000.00)
1/14
1/15
1045
Check
EPC GRP INC
(6,000.00)
1/7
1/21
1046
Check
THE WOLFF LAW FIRM
(3,165.70)
8/24
8/25
1047
Check
MARK A
(1,953.69)
4/14
4/21
1112
Check
US TREAS
(20,000.00)
4/14
4/23
1113
Check
NEW YORK STATE
(5,000.00)
5/13
5/18
1114
Check
TOWN SOHO LLC
(1,607.50)
5/18
5/22
1116
Check
MARTIN NEWMAN
(35.00)
8/24
8/27
1117
Check
LOUIS PLUM & CO
(7,500.00)
9/10
9/14
1118
Check
THE WOLFF LAW FIRM
(3,725.00)
9/25
10/6
1123
Check
US TREASURY
(173,729.00)
9/25
10/7
1124
Check
ARKANSAS DEPARTMENT OF & ADMIN
(63.00)
9/25
10/7
1125
Check
LA DEPT OF REV
(12.00)
9/25
10/5
1126
Check
COMM OF TAXATION & FIN
(3,741.00)
9/28
10/1
1127
Check
MARTHA FARED
(100.00)
9/28
10/2
1128
Check
LOU'S AND COMPANY
(2,750.00)
6/19
6/24
1145
Check
MARK AMMIRATI
(5,868.09)
6/17
6/19
1146
Check
MARK AMMIRATI
(5,868.09)
TOTAL CHECKS WITH NO CODE $(491,698.20)
TOTAL CHECKS WRITTEN $(491,698.20)
AUTOMATED PAYMENTS
Bill Pay and other electronic activity; which may include checks you wrote that were processed by Automated Clearing House processing.
Date off
Payment
Date
Paid
Activity Type
Payee
Credits/(Debit$)
1/9
1/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
$(1,326.48)
1/23
1/23
Automated Payment
AMEX EPayment ACH PMT
(36,752.70)
1/30
1/30
Automated Payment
VRBO 388264 38 RENT
(7,375.00)
1/30
1/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
FOIA Confidential Treatment Requested
MS-USAO-0017926
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH MANAGEMENT Paa@ 21 of 24
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,F #V#% F #V ^9 ^0 J9 ^9 ^9 ^0 J0 J0 ^9 ^0 J9 ^9 J0 ^
99009000990009000900
00*909990009090000090
00000900000009000000
00000000000000000000
09900990009909900999
009900994090009940904
9000000090000000 0 0 0 0
0000009900090*0900990
rterrrtrrrrrrwrrrter
' - ' " » ' - - - % ' - " ' ' ' - - ' - - ' - - - - - - ' » FF F»»F F»rF. F»»F. F ^ V F. F ^ V F. F
909090*00090009000*00000*0*000*00090000000900090009000*0009000*000*0
99999999999999990099999909990999099909900990909090990000099090909990
49994099009949990099409949990099409949904099499949994099499949994999
09090009090900090009000909090909090909000999090909900999000900000900
00*0000000000000000000*000*000000000000000*000*000*0009000*000*000*0
99090099009999990999099009990990099000909990099009900099009009990090
40994099409940994099409900994099009900990099009900990099009900990099
DEBIT CARD/CHECK ACTIVITY
AUTOMATED PAYMENTS (CONTINUED)
Date off Date
Payment Paid Activity Type
Payee
Credits/CDebits)
2/2
2/2
Automated Payment
CUSTOMIZED SERVI RENTPYMNT
(49.00)
2/5
2/5
Automated Payment
J CONDOMINIUM SO 1010888706
(906.74)
2/10
2/10
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
2/19
2/19
Automated Payment
AMEX EPayment ACH PMT
(61,595.79)
3/2
3/2
Automated Payment
BANK OF AMERICA
(3,000.00)
3/5
3/5
Automated Payment
J CONDOMINIUM SO
(906.74)
3/10
3/10
Automated Payment
BANK OF THE WEST
(1,326.48)
3/26
3/26
Automated Payment
AMEX EPayment ACH PMT
(31,104.84)
3/30
3/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
4/6
4/6
Automated Payment
J CONDOMINIUM SO 1010888706
(906.74)
4/9
4/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
4/23
4/23
Automated Payment
AMEX EPayment ACH PMT
(41,938.64)
4/30
4/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
5/5
5/5
Automated Payment
J CONDOMINIUM SO 1010888706
(906.74)
5/5
5/5
Automated Payment
Maritime Sea Ins Insurance
(482.00)
5/9
5/11
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
6/1
6/1
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
6/4
6/4
Automated Payment
AMEX EPayment ACH PMT
(37,336.93)
6/4
6/4
Automated Payment
AMEX EPayment ACH PMT
(1,437.88)
6/5
6/5
Automated Payment
J CONDOMINIUM SO 1010888706
(906.74)
6/9
6/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
6/30
6/30
Automated Payment
AMEX EPayment ACH PMT
(41,605.10)
6/30
6/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
6/30
6/30
Automated Payment
AMEX EPayment ACH PMT
(38.00)
7/6
7/6
Automated Payment
J CONDOMINIUM SO 1010888706
(906.74)
7/9
7/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
7/17
7/17
Automated Payment
AMEX EPayment ACH PMT
(70,794.02)
7/30
7/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
8/5
8/5
Automated Payment
J CONDOMINIUM SO 1010888706
(906.74)
8/11
8/11
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
8/19
8/19
Automated Payment
AMEX EPayment ACH PMT
(36,423.18)
8/19
8/19
Automated Payment
AMEX EPayment ACH PMT
(76.26)
8/28
8/28
Automated Payment
Maritime Sea Ins Insurance
(245.00)
8/31
8/31
Automated Payment
AMEX EPayment ACH PMT
(14,062.59)
8/31
8/31
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
9/4
9/4
Automated Payment
J CONDOMINIUM SO 1010888706
(906.74)
9/9
9/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
9/15
9/15
Automated Payment
AMEX EPayment ACH PMT
(48,189.46)
9/29
9/29
Automated Payment
AMEX EPayment ACH PMT
(13,796.23)
FOIA Confidential Treatment Requested
MS-USAO-0017927
Morgan Stanley
CLIENT STATEMENT private wealth management Page 22 of 24
DEBIT CARD/CHECK ACTIVITY
AUTOMATED PAYMENTS (CONTINUED)
Date off
Date
Payment
Paid
Activity Type
Payee
Credits/(Debits)
9/30
9/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
10/5
10/5
Automated Payment
J CONDOMINIUM SO 1010888706
(906.74)
10/9
10/9
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
10/20
10/20
Automated Payment
AMEX EPayment ACH PMT
(46,627.58)
10/30
10/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
11/3
11/3
Automated Payment
AMEX EPayment ACH PMT
(15,590.15)
11/5
11/5
Automated Payment
J CONDOMINIUM SO
(906.74)
11/10
11/10
Automated Payment
BANK OF THE WEST 1C PAYMENT
(1,326.48)
11/23
11/23
Automated Payment
AMEX EPayment ACH PMT
(45,232.81)
11/23
11/23
Automated Payment
AMEX EPayment ACH PMT
(450.00)
11/30
11/30
Automated Payment
BANK OF AMERICA ONLINE PMT
(3,000.00)
12/4
12/4
Automated Payment-Adj
CK# 000000 RETURNED
906.74
12/4
12/4
Automated Payment
J CONDOMINIUM SO
(906.74)
12/9
12/9
Automated Payment-Adj
CK# 000000 RETURNED
1,326.48
12/9
12/9
Automated Payment
BANK OF THE WEST
(1,326.48)
12/30
12/30
Automated Payment-Adj
CK# 000000 RETURNED
3,000.00
12/30
12/30
Automated Payment
BANK OF AMERICA
(3,000.00)
TOTAL AUTOMATED PAYMENTS $(607,861.84)
TOTAL DEBIT CARD/CHECK ACTIVITY
$(1,100,257.27)
SECURITY TRANSFERS
Date
Activity Type
Security (Symbol)
Comments
Quantity
Accrued Interest
Amount
1/21
Transfer out of Account
CONS DISCRET SEL SECT SPDR FD
PER VERBAL INSTRUCTIONS
TO 654-029324-000 AO 01/21/15
7,450.000
$(519,414.00)
1/21
Transfer out of Account
ENERGY SEL SECT SPDR FD
PER VERBAL INSTRUCTIONS
TO 654-029324-000 AO 01/21/15
7,000.000
(537,950.00)
4/9
Transfer out of Account
WAKPAMNI LAKE BE 6020 210C01
PER LOA
TO 654-030737-000 AO 04/09/15
15,000,000.000
(519,225.00)
(16,791,435.00)
6/10
Transfer into Account
CODE REBEL CORP COM RST
510,831.000
19,672,101.81
FOIA Confidential Treatment Requested
MS-USAO-0017928
Ac«we Assets Aceoum
■MHflMI
SECURITY TRANSFERS (CONTINUED)
Date _ Activity Type _ Security (Symbol) _ Comments _ Quantity
6/25 Transfer out of Account JPMORGAN CHASE & CO 6.1 %-AA PER VERBAL INSTRUCTIONS 10,000.000
TO 654-031879-000 AO 06/25/15
(247,000.00)
TOTAL SECURITY TRANSFERS
Total Accrued Interest
$1,576,302.81
$(519,225.00)
FOIA Confidential Treatment Requested
MS-USAO-0017929
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 23 of 24
Amount
Accrued Interest
PRIVATE WEALTH MANAGEMENT
Page 24 of 24
This page intentionally left blank
FOIA Confidential Treatment Requested
MS-USAO-0017930
CLIENT STATEMENT I For the Period January 1 -31, 2016
STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 1/31/16)
Includes Accrued interest
Your Private Wealth Advisor Team
The Wool Group
212-893-6507
Your Private Wealth Advisors
Kyie Wool
Executive Director
Kyle.Wool@morganstanley.com
212 893-6507
Jerome Niles
Vice President
Jerome.Niles@morganstanley.com
212 893-6450
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
Access Your Account Online: www.morganstanley.com/PWM
654-031823 -041 -1 -0
MS-USAO-0017931
Morgan Stanley
CLIENT STATEMENT I For the Period January 1-31, 2016 PRIVATE WEALTH MANAGEMENT Page 2 of 6
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Investments Risks and Considerations
Structured Investments (Structured Products) are complex products and
may be subject to special risks. Investors should consider the
concentration risk of owning the related security and their total
exposure to any underlying asset. Structured Investments, which may
appear in various statement product categories and are identified on
the Position Description Details line as "Asset Class: Struct Inv," may
not perform in a manner consistent with the statement product
category where they appear and therefore may not satisfy portfolio
asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody’s investors Service and Standard & Poor’s
The credit rating from Moody’s Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 10/2015
FOIA Confidential Treatment Requested
MS-USAO-0017932
Morgan Stanley
CLIENT STATEMENT I For the Period January 1-31, 2016 PRIVATE WEALTH MANAGEMENT Page 3 of 6
Active
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(1 /I /I 6-1/31/16) (1 /I /16-1/31 /16)
TOTAL BEGINNING VALUE
$1,369,027.16
$1,369,027.16
Credits
■
Debits
(0.08)
(0.08)
Security Transfers
(1,108,503.27)
(1,108,503.27)
Net Credits/Debits/Transfers
$(1,108,503.35)
$(1,108,503.35)
Change in Value
(260,523.81)
(260,523.81)
TOTAL ENDING VALUE
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capita! (total amount invested minus
“““ Total Market Value Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian ,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ASSET ALLOCATION
Market Value Percentage
1,000
TOTAL VALUE
$ 0.00 100 . 00 %
750
500
250
0
There Are No Holdings For This Account
FOIA Confidential Treatment Requested
MS-USAO-0017933
Morgan Stanley
CLIENT STATEMENT I For the Period January 1-31, 2016 PRIVATE WEALTH MANAGEMENT Page 4 of 6
Active
BALANCE SHEET ( A includes accrued interest)
Last Period
(as of 12/31/15)
This Period
(as of 1/31/16)
Cash, BDP, MMFs
Stocks
$0.08
1,369,027.08
—
Total Assets
$1,369,027.16
--
Total Liabilities (outstanding balance) — —
TOTAL VALUE
$1,369,027.16
INCOME AND DISTRIBUTION SUMMARY
This Period This Year
_ (1/1/16-1/31/16) _ (1/1/16 1/31/16)
Iota! Taxable Income And Distributions — —
Total Tax-Exempt Income
TOTAL INCOME AND DISTRIBUTIONS
CASH FLOW
This Period
(1/1/16 1/31/16)
This Year
(1/1/16 1/31/16)
OPENING CASH, BDP, MMFs
$0.08
$0.08
Total Investment Related Activity
—
—
Electronic Transfers-Debits
(0.08)
(0 08)
Total Cash Related Activity
$(0.08)
$(0.08)
Total Card/Check Activity — —
CLOSING CASH, BDP, MMFs
—
—
GAIN/(LOSS) SUMMARY
Realized This Period
(1/1/16-1/31/16)
Realized This Year
(1/1/16-1/31/16)
Unrealized
Inception to Date
(as of 1/31/16)
TOTAL GAIN/(LOSS) — — —
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/fLoss) in the Expanded Disclosures.
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account
FOIA Confidential Treatment Requested
MS-USAO-0017934
Morgan Stanley
CLIENT STATEMENT I For the Period January 1-31, 2016 PRIVATE WEALTH MANAGEMENT Page 5 of 6
Active
Investment Objectives*: Speculation, Capital Appreciation, Income, Aggressive Income Brokerage Account
t Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
1/5
1/5
Automated Payment-Adj
CK# 000000 RETURNED
AUTOMATIC BILL PAYMENT
$906.74
1/5
1/5
Automated Payment
J CONDOMINIUM SO
AUTOMATIC BILL PAYMENT
(906.74)
1/26
1/26
Withdrawal
BRANCH CHECK
PAID TO RSB, LLC
(0.08)
NET CREDITS/(DEBITS)
$(0.08)
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
Bill pay and other electronic activity , which may include checks you wrote that were processed by Automated Clearing House processing.
Date off Date
Payment Paid _Activity Tyjge_Payee_
1/5 1/5 Automated Payment-Adi _ CK# 000000 RETURNED _
1/5 1/5 Automated Payment _ J CONDOMINIUM SO _
TOTAL AUTOMATED PAYMENTS
Crediis/(Pebits)
$906.74 '
(906.74)
$0.00
MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY
Date Activity Type
Description
1/5 Automatic Redemption
ANK DEPOSIT PROGRAM
1/6 Automatic Investment
ANK DEPOSIT PROGRAM
1/27 Automatic Redemption
BANK DEPOSIT PROGRAM
Credits/(Debits)
$(0.08)
0.08
(0.08)
NET ACTIVITY FOR PERIOD
$(0.08)
FOIA Confidential Treatment Requested
MS-USAO-0017935
Morgan Stanley
CLIENT STATEMENT I For the Period January 1-31, 2016 PRIVATE WEALTH MANAGEMENT Page 6 of 6
TRANSFERS, CORPORATE ACTIONS AND ADDITIONAL ACTIVITY
SECURITY TRANSFERS
Pate Activity Type _ Security (Symbol) _ Comments _ Quantity _ Accrued Interest _ Amount
1 /27 Transfer out of Account _ COPE REBEL CORP COM RST _ 510,831.000 _ $(1,108,503.27)
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
FOIA Confidential Treatment Requested
MS-USAO-0017936
CLIENT STATEMENT I For the Period February 1-29, 2016
STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 2/29/16)
Includes Accrued interest
Your Private Wealth Advisor Team
The Wool Group
212-893-6507
Your Private Wealth Advisors
Kyle Wool
Executive Director
Kyle.Wool@morganstanley.com
212 893-6507
Jerome Niles
Vice President
Jerome.Niles@morganstanley.com
212 893-6450
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week) : 800-668-8168
Access Your Account Online: www.morganstanley.com/PWM
654-031823 -041 -1 -0
MS-USAO-0017937
Morgan Stanley
CLIENT STATEMENT I For the Period February 1-29, 2016 PRIVATE WEALTH MANAGEMENT Page 2 of 6
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For current margin loan interest rates, go to
www. morganstan ley. com/on I i ne/M I Rates.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
Due to market conditions, certain Auction Rate Securities experience no
or limited liquidity. Therefore, the price(s) for any Auction Rate
Securities shown on this statement may not reflect the price(s) you
would receive upon a sale at auction or in a secondary market
transaction, and are not an indication of any offer to purchase at such
price.
Structured Investments Risks and Considerations
Structured Investments (Structured Products) are complex products and
may be subject to special risks. Investors should consider the
concentration risk of owning the related security and their total
exposure to any underlying asset. Structured Investments, which may
appear in various statement product categories and are identified on
the Position Description Details line as "Asset Class: Struct Inv," may
not perform in a manner consistent with the statement product
category where they appear and therefore may not satisfy portfolio
asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody’s investors Service and Standard & Poor’s
The credit rating from Moody’s Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 10/2015
FOIA Confidential Treatment Requested
MS-USAO-0017938
Morgan Stanley
CLIENT STATEMENT I For the Period February 1-29, 2016 PRIVATE WEALTH MANAGEMENT Page 3 of 6
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(2/1 /16-2/29/16) (1 /I /16-2/29/16)
TOTAL BEGINNING VALUE
— $1,369,027.16
Credits
Debits
(0.08)
Security Transfers
(1,108,503.27)
Net Credits/Debits/Transfers
— $(1,108,503.35)
Change in Value
— (260,523.81)
TOTAL ENDING VALUE
CHANGE IN VALUE OVER TIME
The display of market value (totai account value} and net invested capita! (total amount invested minus
—— Total Market Value — — - Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net Invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ASSET ALLOCATION
Market Value Percentage
1,000
TOTAL VALUE
$ 0.00 100 . 00 %
750
500
250
0
There Are No Holdings For This Account
FOIA Confidential Treatment Requested
MS-USAO-0017939
Morgan Stanley
CLIENT STATEMENT I For the Period February 1-29, 2016 PRIVATE WEALTH MANAGEMENT Page 4 of 6
BALANCE SHEET ( A includes accrued interest)
Total Assets
Total Liabilities (outstanding balance)
TOTAL VALUE
Last Period
(as of 1/31/16)
This Period
(as of 2/29/16)
INCOME AND DISTRIBUTION SUMMARY
This Period This Year
_ (2/1/16-2/29/16) _ (1/1/16 2/29/16)
Total Taxable Income And Distributions —
Total Tax-Exempt Income — —
TOTAL INCOME AND DISTRIBUTIONS — —
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account
CASH FLOW
This Period
(2/1/16-2/29/16)
This Year
(1/1/16-2/29/16)
OPENING CASH, BDP, MMFs
$0.08
Total Investment Related Activity
—
—
Electronic Transfers-Debits
—
(0,08)
Total Cash Related Activity
—
$(0.08)
Total Card/Check Activity — —
CLOSING CASH, BDP, MMFs
GAIN/(L0SS) SUMMARY
Realized This Period
(2/1/16-2/29/16)
Realized This Year
(1/1/16-2/29/16)
Unrealized
Inception to Date
(as of 2/29/16)
TOTAL GAIN/(LOSS) — — —
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017940
Morgan Stanley
CLIENT STATEMENT I For the Period February 1-29, 2016 PRIVATE WEALTH MANAGEMENT Page 5 of 6
Investment Objectives* : Speculation, Capital Appreciation, income, Aggressive Income
t Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
Brokerage Account
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Transaction Settlement
Date Date Activity Type
Description
Comments
Quantity
Price
Credits/(Debits)
2/1
2/1
2/1
2/1
Automated Payment-Adj CK# OOOOOQ RETURNED
Automated Payment
BANK OF AMERICA
NET CREDITS/(DEBITS)
AUTOMATIC BILL PAYMENT
AUTOMATIC BILL PAYMENT
••••••i•»i»•
• • • • •#.••• • • •
$3,000.00
..............J3,000,00)..
$ 0.00
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Date off
Payment
Date
Paid
Activity Type
Payee
Credits/(Debits)
2/1
2/1
2/1
2/1
Automated Payment-Adj
CK# 000000 RETURNED
Automated Payment
IANK OF AMERICA
$3,000.00
(3,000.00)
TOTAL AUTOMATED PAYMENTS
$ 0.00
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:_
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
Looking To Increase Your Retirement Savings?
There’s still time before the April 18, 2016* deadline to open a Traditional IRA with contributions that may be tax-deductible on your 2015 tax return, a Traditional IRA with non-deductible contributions or, if you're
eligible, a Roth IRA with non-deductible contributions and the advantage of tax-free withdrawals (if certain conditions are met). The maximum contribution is the lesser of (a) your taxable compensation for 2015, or
(b) $5,500 (or $6,500 if you are age 50 or older). These iimits apply to all your IRAs combined. Please call your Financial Advisor for more information about your retirement savings strategy.
^Except for residents of Massachusetts (MA) and Maine (ME) for whom 4/19/16 is the tax filing date due to Patriots' Day (MA) and Patriot's Day (ME).
FOIA Confidential Treatment Requested
MS-USAO-OO17941
PRIVATE WEALTH MANAGEMENT
Page 6 of 6
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FOIA Confidential Treatment Requested
MS-USAO-0017942
CLIENT STATEMENT I For the Period March 1 -31, 2016
STATEMENT FOR:
RSB, LLC
C/0 DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 3/31/16)
Includes Accrued interest
Your Private Wealth Advisor Team
The Wool Group
212-893-6507
Your Private Wealth Advisors
Kyle Wool
Executive Director
Kyle.Wool@morganstanley.com
212 893-6507
Jerome Niles
Vice President
Jerome.Niles@morganstanley.com
212 893-6450
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week): 800-668-8168
Access Your Account Online: www.morganstanley.com/PWM
654-031823 -041 -1 -0
MS-USAO-0017943
CLIENT STATEMENT I For the Period March 1-31, 2016
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 2 of 0
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For interest rate information, log into your Morgan Stanley
account at morganstanley.com/online. Select your account with a
Margin agreement and click Interest Rates for more information.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System, The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
For certain Auction Rate Securities there is no or limited liquidity.
Therefore, the price(s) for these Auction Rate Securities are indicated
by N/A (not available). There can be no assurance that a successful
auction will occur or that a secondary market exists or will develop for
a particular security.
Structured Investments Risks and Considerations
Structured Investments (Structured Products) are complex products and
may be subject to special risks. Investors should consider the
concentration risk of owning the related security and their total
exposure to any underlying asset. Structured Investments, which may
appear in various statement product categories and are identified on
the Position Description Details line as "Asset Class: Struct Inv," may
not perform in a manner consistent with the statement product
category where they appear and therefore may not satisfy portfolio
asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody’s investors Service and Standard & Poor’s
The credit rating from Moody’s Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 03/2016
FOIA Confidential Treatment Requested
MS-USAO-0017944
CLIENT STATEMENT I For the Period March 1-31, 2016
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 3 0 f 0
Active
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(3/1 /16-3/31/16) (1 /I /16-3/31/16)
TOTAL BEGINNING VALUE
— $1,369,027.16
Credits
Debits
(0.08)
Security Transfers
(1,108,503.27)
Net Credits/Debits/Transfers
— $(1,108,503.35)
Change in Value
— (260,523.81)
TOTAL ENDING VALUE
CHANGE IN VALUE OVER TIME
The display of market value (totai account value} and net invested capita! (total amount invested minus
—— Total Market Value — — - Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net Invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ASSET ALLOCATION
Market Value Percentage
1,000
TOTAL VALUE
$ 0.00 100 . 00 %
750
500
250
0
There Are No Holdings For This Account
FOIA Confidential Treatment Requested
MS-USAO-0017945
CLIENT STATEMENT I For the Period March 1-31, 2016
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 4 0 f 0
Active
BALANCE SHEET ( A includes accrued interest)
Total Assets
Total Liabilities (outstanding balance)
TOTAL VALUE
Last Period
(as of 2/29/16)
This Period
(as of 3/31/16)
INCOME AND DISTRIBUTION SUMMARY
This Period This Year
_ (3/1/16-3/31/16) _ (1/1/16-3/31/16)
Total Taxable Income And Distributions — —
Total Tax-Exempt Income — —
TOTAL INCOME AND DISTRIBUTIONS — —
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account
CASH FLOW
This Period
(3/1/16-3/31/16)
This Year
(1/1/16-3/31/16)
OPENING CASH, BDP, MMFs
$0.08
Total Investment Related Activity
—
—
Electronic Transfers-Debits
—
(0,08)
Total Cash Related Activity
—
$(0.08)
Total Card/Check Activity — —
CLOSING CASH, BDP, MMFs
GAIN/(L0SS) SUMMARY
Realized This Period
(3/1/16-3/31/16)
Realized This Year
(1/1/16-3/31/16)
Unrealized
Inception to Date
(as of 3/31/16)
TOTAL GAIN/(LOSS) — — —
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
FOIA Confidential Treatment Requested
MS-USAO-0017946
CLIENT STATEMENT I For the Period March 1-31, 2016
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 5 0 f 0
Investment Objectives*: Speculation, Capital Appreciation, Income, Aggressive Income Brokerage Account
t Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Activity Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price Credits/(Debits)
3/1
Automated Payment-Adj
CK# 000000 RETURNED
AUTOMATIC BILL PAYMENT
$3,000.00
3/1
Automated Payment
BANK OF AMERICA
AUTOMATIC BILL PAYMENT
(3,000.00)
3/30
Automated Payment-Adj
CK# 000000 RETURNED
AUTOMATIC BILL PAYMENT
3,000.00
3/30
m&sss&sssmm&
Automated Payment
BANK OF AMERICA
AUTOMATIC BILL PAYMENT
(3.000.00)
NET CREDITS/(DEBITS)
$ 0.00
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
*
ill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Transaction Activity
Date
Date
Activity Type
Payee
Credsts/(Debits)
3/1
3/1
Automated Payment-Adj
CK# 000000 RETURNED
$3,000.00
3/1
3/1
Automated Payment
BANK OF AMERICA
(3,000.00)
3/30
3/30
Automated Payment-Adj
CK# 000000 RETURNED
3,000.00
3/30
3/30
Automated Payment
BANK OF AMERICA
(3,000.00)
TOTAL AUTOMATED PAYMENTS $0.00
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
Statement of Financial Condition (In Millions of Dollars)
At December 31, 2015 Morgan Stanley Smith Barney LLC had net capital of $3,613 which exceeded the Securities and Exchange Commission’s minimum requirement by $3,459. A copy of the Morgan Stanley Smith
Barney LLC Consolidated Statement of Financial Condition at December 31, 2015 can be viewed online at: http://www.morganstanley.com/about-us-ir/shareholder/morganstanley_smithbarney_llc,pdf or may be
mailed to you at no cost by calling 1 ( 866 ) 825-1675, after March 15, 2016,
FOIA Confidential Treatment Requested
MS-USAO-0017947
CLIENT STATEMENT I For the Period March 1-31, 2016
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 6 of 6
Active
Make Your Annual IRA Contribution
The deadline to make your 2015 IRA contribution is April 18, 2016*, so there is still time to contribute to a Traditional or Roth IRA, subject to IRS eligibility requirements (including any applicable age or income
restrictions). The maximum contribution is the lesser of (a) your taxable compensation for 2015, or (b) $5,500 (or $6,500 if you are age 50 or older) for 2015, These limits apply to all your IRAs combined. Your
Financial Advisor can help you open a new IRA or fund an existing one, You can even move funds from an existing Morgan Stanley non-retirement account to fund your contribution, Speak with your Financial Advisor
about making an IRA contribution for 2016 at the same time and take advantage of a year of additional potential growth.
*Except for residents of Massachusetts (MA) and Maine (ME) for whom 4/19/16 is the tax filing date due to Patriots' Day (MA) and Patriot's Day (ME).
Sign up for eDelivery of your Statements Today
Would you like to receive your Statements and other documents faster, more securely and with the added benefit of reducing paper mail? Simply visit www.morganstanley.com/edelivery to set your eDelivery
preferences today. Please note, if you have not already, you will first need to register for Morgan Stanley Online, to make your eDelivery selections,
FOIA Confidential Treatment Requested
MS-USAO-0017948
CLIENT STATEMENT I For the Period April 1- May 31, 2016
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r r t r r
STATEMENT FOR:
RSB, LLC
C/O DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
#BWNJGWM
RSB, LLC
C/0 DEVON ARCHER
152 W 57TH ST
47TH FL
NEW YORK NY 10019-3480
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 5/31/16)
Includes Accrued interest
Your Private Wealth Advisor Team
The Wool Group
212-893-6507
Your Private Wealth Advisors
Kyle Wool
Executive Director
Kyle.Wool@morganstanley.com
212 893-6507
Jerome Niles
Vice President
Jerome.Niles@morganstanley.com
212 893-6450
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
Client Service Center (24 Hours a Day; 7 Days a Week): 800-668-8168
Access Your Account Online: www.morganstanley.com/PWM
654-031823 -041 -1 -0
MS-USAO-0017949
Morgan Stanley
CLIENT STATEMENT I For the Period April 1-May 31, 2016 PRIVATE WEALTH MANAGEMENT Page 2 of 6
The following Disclosures are applicable to the enclosed statement(s).
Expanded Disclosures are attached to your most recent June and
December statement (or your first Statement if you have not received a
statement for those months). The Expanded Disclosures are also
available by selecting Account Documents when you log on to
www.morganstanley.com/online or, call 800-869-3326.
Questions?
Questions regarding your account may be directed to your Financial
Advisor or the Branch Manager for the branch office where you
maintain your account. If you require further assistance, call Client
Service Center at (800) 869-3326 or for account-related concerns call
our Client Advocate at (866) 227-2256.
Errors and Inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Custom@r(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral for any
outstanding margin loan. The amount you may borrow is based on the
value of the eligible securities in your margin accounts. If a security has
eligible shares, the number of shares pledged as collateral will be
indicated below the position.
Margin Interest Charges
We calculate interest charges on margin loans as follows: (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For interest rate information, log into your Morgan Stanley
account at morganstanley.com/online. Select your account with a
Margin agreement and click Interest Rates for more information.
Information regarding Special Memorandum Account
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220.5 of Regulation T issued by the Board of Governors
of the Federal Reserve System, The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Important Information About Auction Rate Securities
For certain Auction Rate Securities there is no or limited liquidity.
Therefore, the price(s) for these Auction Rate Securities are indicated
by N/A (not available). There can be no assurance that a successful
auction will occur or that a secondary market exists or will develop for
a particular security.
Structured Investments Risks and Considerations
Structured Investments (Structured Products) are complex products and
may be subject to special risks. Investors should consider the
concentration risk of owning the related security and their total
exposure to any underlying asset. Structured Investments, which may
appear in various statement product categories and are identified on
the Position Description Details line as "Asset Class: Struct Inv," may
not perform in a manner consistent with the statement product
category where they appear and therefore may not satisfy portfolio
asset allocation needs for that category.
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
SI PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by SIPC protection. To obtain information about SIPC, including an
explanatory SIPC brochure, contact SIPC at 1 -202-371-8300 or visit
www.sipc.org.
Transaction Dates and Conditions
Upon written request, we will furnish the date and time of a transaction
and the name of the other party to a transaction. We and/or our
affiliates may accept benefits that constitute payment for order flow.
Details regarding these benefits and the source and amount of any
other remuneration received or to be received by us in connection with
any transaction will be furnished upon written request.
Equity Research Ratings Definitions and Global Investment Manager
Analysis Status
Some equity securities may have research ratings from Morgan Stanley
& Co. LLC or Standard & Poor's. Research ratings are the research
providers' opinions and not representations or guarantees of
performance. For more information about each research provider's
rating system, see the Research Ratings on your most recent June or
December statement (or your first statement if you have not received a
statement for those months), go to www.morganstanley.com/online or
refer to the research provider's research report. Research reports
contain more complete information concerning the analyst's views and
you should read the entire research report and not infer its contents
from the rating alone. If your account contains an advisory component
or is an advisory account, a GIMA status will apply.
Credit Ratings from Moody’s investors Service and Standard & Poor’s
The credit rating from Moody’s Investors Service and Standard & Poor's
may be shown for certain securities. All credit ratings represent the
opinions of the provider and are not representations or guarantees of
performance. Your Financial Advisor will be pleased to provide you with
further information or assistance in interpreting these credit ratings.
Revised 03/2016
FOIA Confidential Treatment Requested
MS-USAO-0017950
Morgan Stanley
CLIENT STATEMENT I For the Period April 1-May 31, 2016 PRIVATE WEALTH MANAGEMENT Page 3 of 6
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
(4/1 /16-5/31/16) (1 /I /16-5/31/16)
TOTAL BEGINNING VALUE
— $1,369,027.16
Credits
Debits
(0.08)
Security Transfers
(1,108,503.27)
Net Credits/Debits/Transfers
— $(1,108,503.35)
Change in Value
— (260,523.81)
TOTAL ENDING VALUE
CHANGE IN VALUE OVER TIME
The display of market value (totai account value} and net invested capital (total amount invested minus
—— Total Market Value — — - Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net Invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ASSET ALLOCATION
Market Value Percentage
1,000
TOTAL VALUE
$ 0.00 100 . 00 %
750
500
250
0
There Are No Holdings For This Account
FOIA Confidential Treatment Requested
MS-USAO-0017951
CLIENT STATEMENT 1 For the Period April 1- May 31, 2016
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account
FOIA Confidential Treatment Requested
CASH FLOW
This Period This Year
(4/1/16-5/31/16) (1/1/16-5/31/16)
OPENING CASH, BDP, MMFs — $0.08
Total Investment Related Activity — —
Electronic Transfers-Debits _—•_ (0,08)
Total Cash Related Activity — $(0.08)
Total Card/Check Activity — —
CLOSING CASH, BDP, MMFs — —
GAIN/(LOSS) SUMMARY
Unrealized
Realized This Period Realized This Year Inception to Date
_ (4/1/16-5/31/16) _ (1/1/16-5/31/16) _ (as of 5/31 /16)
TOTAL GAIN/(LOSS) — — —
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
MS-USAO-0017952
Morgan Stanley
CLIENT STATEMENT I For the Period April 1-May 31, 2016 PRIVATE WEALTH MANAGEMENT Page 5 of 6
Investment Objectives*: Speculation, Capital Appreciation, Income, Aggressive Income Brokerage Account
f Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
ACTIVITY
CASH FLOW ACTIVITY BY DATE
Activity Settlement
Date
Date
Activity Type
Description
Comments
Quantity
Price Credits/(Debits)
5/2
Automated Payment-Adj
CK# 000000 RETURNED
AUTOMATIC BILL PAYMENT
$3,000.00
5/2
Automated Payment
BANK OF AMERICA
AUTOMATIC BILL PAYMENT
(3,000.00)
5/31
Automated Payment-Adj
CK# 000000 RETURNED
AUTOMATIC BILL PAYMENT
3,000.00
5/31
Automated Payment
BANK OF AMERICA
AUTOMATIC BILL PAYMENT
(3.000.00)
NET CREDITS/(DEBITS)
$ 0.00
DEBIT CARD & CHECKING ACTIVITY
AUTOMATED PAYMENTS
ill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing.
Transaction Activity
Date
Date
Activity Type
Payee
Credits/(Debits)
5/2
Automated Payment-Adj
CK# 000000 RETURNED
$3,000.00
5/2
5/2
Automated Payment
BANK OF AMERICA
(3,000.00)
5/31
Automated Payment-Adj
CK# 000000 RETURNED
3,000.00
5/31
Automated Payment
BANK OF AMERICA
(3,000.00)
TOTAL AUTOMATED PAYMENTS $0.00
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO:
LOUIS PLUNG AND COMPANY, LLP
FOIA Confidential Treatment Requested
MS-USAO-0017953
PRIVATE WEALTH MANAGEMENT
Page 6 of 6
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FOIA Confidential Treatment Requested
MS-USAO-0017954
006508 MSPDD011
CLIENT STATEMENT For the Period June 1 - December 31, 2016
STATEMENT FOR:
RSB, LLC
C/O DEVON ARCHER
Morqan Stanley Private Wealth Management, a division of Morqan Stanley Smith Barney LLC.
Member SIPC.
FOIA Confidential Treatment Requested
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
TOTAL VALUE OF YOUR ACCOUNT (as of 12/31/16)
Includes Accrued interest
Your Private Wealth Advisor Team
The Wool Group
212-893-6507
Your Private Wealth Advisors
Kyle Wool
Executive Director
Kyle.Wool@morganstanley.com
212 893-6507
Jerome Niles
Vice President
Jerome.Niles@morganstanley.com
212 893-6450
Your Branch
399 PARK AVE 12TH FL
NEW YORK, NY 10022
Telephone: 212-893-6300; Alt. Phone: 800-223-0270; Fax: 212-893-6301
MS-USAO-0017955
Morgan Stanley
CLIENT STATEMENT I For the Period June 1- December 31, 2016 PRIVATE WEALTH MANAGEMENT Page 2 of 8
Expanded Disclosures, which apply to all statements Morgan Stanley
Smith Barney LLC (we/us) sends to you, are provided with your first
statement and thereafter twice a year.
Questions?
Questions regarding your account may be directed to either your
Financial Advisor or the Branch Manager for the branch office where
you maintain your account, If you require further assistance, call the
Client Service Center at (800) 869-3326 or for account-related
concerns contact our Client Advocate at (866) 227-2256 or via U.S.
mail at P.0 Box 95002, South Jordan, Utah 84095.
Errors and inquiries
It is your responsibility to review your statement promptly and to seek
immediate clarification about entries that you do not understand or
believe were made in error by contacting the Branch Manager of the
office where you maintain your account. Oral communications
regarding any inaccuracy or discrepancy in this statement should be
re-confirmed in writing to further protect your rights, including rights
under the Securities Investor Protection Act (SIPA). Your statement will
be deemed correct unless we receive a written inquiry of a suspected
error. See your account documentation for special rules regarding your
rights and responsibilities with respect to erroneous electronic fund
transfers, including a description of the transfers covered.
Account Valuation
Account values are computed by adding (1) the market value of all
priced positions and (2) market values provided by pricing services
and/or outside custodians, as applicable for other positions, and by
adding any credit or subtracting any debit to your closing Cash, Money
Market Funds and/or Deposit balance. Cash, Deposits and Money
Market Funds are displayed on a settlement date basis, and other
positions are displayed in your account on a trade date basis. The
values of fixed income positions in summary displays include accrued
interest in the totals. In the "Holdings" section, fixed income market
value and accrued interest are also displayed in separate columns.
Accrued interest is the interest earned but not yet paid on the bond
since its last interest payment. In most cases, it is calculated from the
date of the last coupon payment (or "dated date") through the
closing date of the statement. Foreign Currency Deposits are reflected
in U.S. dollars as of the statement end date. The Annual Percentage
Yield (APY) for deposits represents the applicable rate in effect for your
deposits at the statement ending date. This APY may be different than
the APY that was in effect during the statement period. For current
Bank Deposit or Money Market Fund yields, go to
www. morga nsta n I ey. com/wea I th - i n vestmentstrateg i es/rate mo n i tor. htm I.
Additional Retirement Account Information
Tax-qualified account contributions are subject to IRS eligibility rules
and regulations. The Contributions information in this statement reflects
contributions for a particular account, without reference to any other
account. Check with your tax advisor to verify how much you can
contribute, if the contribution will be tax deductible, and if other special
rules apply (e g., to conversions/recharacterizations of Traditional to
Roth/Roth to Traditional IRAs). Tax reporting is provided for IRA, VIP
Basic and 403(b) accounts but not for VIP Plus and RPM accounts.
The account value used for your Required Minimum Distribution
calculation, if any, is based on the prior December 31st Account Value,
including accrued interest. Additionally, for IRAs (1) the "Max.
Individual Contributions Allowed (by SSN)” reflects the annual limit on
contributions that you can make to Traditional and Roth IRAs under
the Internal Revenue Code (this limit applies on a per person basis, not
per account; other rules apply to IRAs which are part of employer-
sponsored plans); (2) you cannot make an individual contribution to a
Traditional IRA for the year in which you reach age 70 1/2 or any later
year; and (3) the categorization of any contribution's deductibility is
based upon information provided by you. The information included in
this statement is not intended to constitute tax, legal or accounting
advice. Contact us if any of this information is incorrect.
Availability of Free Credit Balances and Financial Statements
Under the customer protection rules of the SEC [17 CFR
§240.15c3-3], we may use funds comprising free credit balances
carried for customer accounts here, provided that these funds are
payable to customers on demand (i.e., are free of a lien or right of
set-off in our favor or on behalf of some third party to whom you have
given control). A financial statement of this organization is available for
your personal inspection at its offices, or a copy will be mailed to you
upon your written request.
Gain/(Loss) Information
Gain/(Loss) is provided for informational purposes. It is not a substitute
for Internal Revenue Service (IRS) Form 1099 (on which we report cost
basis for covered securities) or any other IRS tax form, and should not
be used for tax preparation. Unrealized Gain/(Loss) provided on this
statement is an estimate. Contact your own independent legal or tax
advisor to determine the appropriate use of the GainZ(Loss) information
on this statement. For more information, go to
www.morganstanley.com/wealth/disclosures/disclosures.asp, or call
Client Service Center.
Tax Reporting
Under Federal Income Tax law, we are required to report gross
proceeds of sales (including entering into short sales) on Form 1099-B
by February 15 of the year following the calendar year of the
transaction for reportable (i.e. non-retirement) accounts. For sales of
certain securities acquired on or after January 1, 2011 (or applicable
date for the type of security) we are also required to report cost basis
and holding period. Under Internal Revenue Service regulations, if you
have not provided us with a certification of either U.S. or foreign status
on applicable Form W-9 or W-8, your accounts may be subject to
either 28% back-up withholding or 30% nonresident alien withholding
on payments made to your accounts.
Investment Objectives
The following is an explanation of the investment objective alternatives
applicable to your account(s): Income - for investors seeking regular
income with low to moderate risk to principal; Capital Appreciation - for
investors seeking capital appreciation with moderate to high risk to
principal; Aggressive Income - for investors seeking higher returns either
as growth or as income with greater risk to principal; Speculation - for
investors seeking high profits or quick returns with considerable
possibility of losing most or all of their investment.
Listed Options
Information with respect to commissions and other charges related to
the execution of options transactions has been included in
confirmations of such transactions previously furnished to you and such
information will be made available to you promptly at your request.
Promptly advise us of any material change in your investment
objectives or financial situation.
Important Information if you are a Margin Customer(not available for
certain retirement accounts)
If you have margin privileges, you may borrow money from us in
exchange for pledging assets in your accounts as collateral. The amount
you may borrow is based on the value of eligible securities in your
margin accounts. If a security has eligible shares the number of shares
pledged as collateral is indicated below the position. If you have a
margin account, as permitted by law, we may use certain securities in
your account for, among other things, settling short sales or lending the
securities for short sales, for which we may receive compensation.
Margin Interest Charges
We calculate interest charges on margin loans as follows; (1) multiply
the applicable margin interest rate by the daily close of business net
settled debit balance, and (2) divide by 360 (days). Margin interest
accrues daily throughout the month and is added to your debit balance
at month-end. The month-end interest charge is the sum of the daily
accrued interest calculations for the month. We add the accrued
interest to your debit balance and start a new calculation each time the
applicable interest rate changes and at the close of every statement
month. For interest rate information, log into your Morgan Stanley
account at morganstanley.com/online. Select your account with a
Margin agreement and click Interest Rates for more information,
information regarding Special Memorandum Account
CONTINUED
FOIA Confidential Treatment Requested
MS-USAO-0017956
006508 MSPDD011
CLIENT STATEMENT
For the Period June 1 - December 31, 2016
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
K
r
Page 3 of
If you have a Margin Account, this is a combined statement of your
Margin Account and Special Memorandum Account maintained for you
under Section 220,5 of Regulation T issued by the Board of Governors
of the Federal Reserve System. The permanent record of the Special
Memorandum Account as required by Regulation T is available for your
inspection at your request.
Money Market Fund (MMF) Pricing
An investment in a MMF is neither insured nor guaranteed by the
Federal Deposit Insurance Corporation (FDIC) or any other government
agency. Although MMFs seek to preserve the value of your investment
at $1 00 per share, there can be no assurance that will occur and it is
possible to lose money should the fund value per share fall. In some
circumstances MMFs may cease operations when the value of a fund
drops below $1.00 per share. In that event, the fund's holdings would
be liquidated and distributed to the fund's shareholders. This process
could take up to one month or more. During that time, these funds
would not be available to you to support purchases, withdrawals, and if
applicable, check writing or ATM debits from your account.
Notice Regarding Global Investment Manager Analysis
Morgan Stanley's Global Investment Manager Analysis team conducts
analysis on various mutual funds and exchange-traded funds for clients
holding those funds in certain investment advisory programs. If you
have invested in any of these funds in another type of account, such as
a brokerage account, you will not receive the same materials and status
updates on the funds as we provide to investment advisory clients
(including instructions on selling fund shares).
Pricing of Securities
The prices of securities are derived from various sources, and do not
necessarily represent the prices at which those securities could have
been bought or sold. Although we attempt to use reliable sources of
information, we can offer no assurance as to their accuracy. Prices of
securities not actively traded may not be available, and are indicated
by N/A (not available). For additional information on how we price
securities, go to
www.morganstanley.com/wealth/disclosures/disclosures.asp.
important Information About Auction Rate Securities
For certain Auction Rate Securities there is no or limited liquidity.
Therefore, the price(s) for these Auction Rate Securities are indicated
by N/A (not available). There can be no assurance that a successful
auction will occur or that a secondary market exists or will develop for
a particular security.
Structured Investments Risks and Considerations
Structured Investments (Structured Products) are complex products and
may be subject to special risks, which may include, but are not limited
to: loss of initial investment; issuer credit risk and price volatility
resulting from any actual or anticipated changes to issuer's and/or
guarantor's credit ratings or credit spreads; limited or no appreciation
and limits on participation in any appreciation of underlying asset(s);
risks associated with the underlying reference asset(s); no periodic
payments; call prior to maturity; early redemption fees for market
linked deposits; lower interest rates and/or yield compared to
conventional debt with comparable maturity; unique tax implications;
limited or no secondary market; and conflicts of interest due to
affiliation, compensation or other factors which could adversely affect
market value or payout to investors. Investors also should consider the
concentration risk of owning the related security and their total
exposure to any underlying asset. Structured Investments, which may
appear in various statement product categories and are identified on
the Position Description Details line as "Asset Class: Struct Inv," may
not perform in a manner consistent with the statement product
category where they appear and therefore may not satisfy portfolio
asset allocation needs for that category. When displayed, the accrued
interest, annual income and yield for structured investments with a
contingent income feature (e.g.. Range Accrual Notes and Contingent
Income Notes) are estimates and assume specified accrual conditions
are met during the relevant observation period and payment in full of
all contingent interest. Actual accrued interest, annual income and yield
will be dependent upon the performance of the underlying asset(s) and
may be significantly lower than the estimates shown. For information
on the risks and conflicts of interest related to Structured Investments
generally, log in to Morgan Stanley Online and go to
www.morganstanley.com/structuredproductsrisksandconflicts. For
more information on the risks specific to your Structured Investments,
contact your Financial Advisor
Security Measures
This statement features several embedded security elements to
safeguard its authenticity. One is a unique security mark-a blue
rectangle printed in heat-sensitive ink on the back of every page. When
exposed to warmth, the blue rectangle will disappear, and then
reappear.
Si PC Protection
We are a member of Securities Investor Protection Corporation (SIPC),
which protects securities of its customers up to $500,000 (including
$250,000 for claims for cash). An explanatory brochure is available
upon request or at www.sipc.org. Losses due to market fluctuation are
not protected by SI PC and assets not held with us may not be covered
by Si PC protection. To obtain information about SI PC, including an
explanatory SIPC brochure, contact SIPC at 1-202-371-8300 or visit
www.sipc.org.
Certain Assets Not Held at Morgan Stanley Smith Barney LLC
You may purchase certain assets through us that may be held at
another financial institution. Assets not held with us may not be
covered by SIPC protection. We may include information about certain
of these assets on this statement solely as a service to you and are not
responsible for any information provided by external sources Generally,
any financial institution that holds securities is responsible for year-end
reporting (1099s) and separate periodic statements, which may vary
from our information due to different tax reporting periods. In the case
of networked mutual funds, we perform all year-end tax reporting.
Under certain circumstances, such as IRA accounts, we perform all tax
reporting.
Total Income
Total income, as used in the income summaries, represents dividends
and/or interest on securities we receive on your behalf and credit to
your account(s) during the calendar year. We report dividend
distributions and taxable bond interest credited to your account to the
Internal Revenue Service. The totals we report may differ from those
indicated as "This Year” figures on the last statement for the calendar
year. In the case of Real Estate Investment Trusts (REITs), Master
Limited Partnerships, Regulated Investment Companies and Unit
Investment Trusts, some sponsors may reclassify the distribution to a
different tax type for year-end reporting.
Transaction Dates and Conditions
Transactions display trade date and settlement date. Transactions are
included on this statement on trade date basis (excluding BDP and
MMFs). Trades that have not settled as of statement month end will
also be displayed in the "Unsettled Purchases/Sales Activity" section.
Upon written request, we will give you the date and time of a
transaction and the name of the other party to a transaction. We and/or
our affiliates may accept benefits that constitute payment for order
flow. Details regarding these benefits and the source and amount of
any other remuneration received or to be received by us in connection
with any transaction will be furnished upon written request.
Tax and Legal Disclosure
Morgan Stanley does not provide legal or tax advice. Please consult
your own tax advisor.
Revised 07/2016
FOIA Confidential Treatment Requested
MS-USAO-0017957
Morgan Stanley
CLIENT STATEMENT I For the Period June 1- December 31, 2016 PRIVATE WEALTH MANAGEMENT Page 4 of 8
CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest)
This Period This Year
_ (6/1/16-12/31/16) _ (1/1/16-12/31/16)
TOTAL BEG3MM1SSSG VALUE — $1,369,027.16
Credits — —
Debits — (0.08)
Security Transfers _—_ (1,108,503.27)
Nel Credits/Debits/Transfers _ $(1,108,503.35)
Change in Value — (260,523.81)
TOTAL ENDING VALUE — —
CHANGE IN VALUE OVER TIME
The display of market value (totai account value) and net invested capital (total amount invested minus
MAR 2014 DEC 2014 DEC 2015 DEC 2016
— Total Market Value —Net Invested Capital Since 02/28/14
This graph does not reflect corrections to Net Invested Capital or Market Value made subsequent to the
dates depicted. It may exclude transactions in Annuities or positions where we are not the custodian,
which could delay the reporting of Market Value or affect the Net Invested Capital.
ASSET ALLOCATION
FOIA Confidential Treatment Requested
MS-USAO-0017958
006508 MSPDD011
CLIENT STATEMENT For the Period June 1 - December 31, 2016
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 5 of 8
BALANCE SHEET ( A includes accrued interest)
Total Assets
Total Liabilities (outstanding balance)
TOTAL VALUE
Last Period
(as of 5/31/16)
This Period
(as of 12/31/16)
INCOME AND DISTRIBUTION SUMMARY
This Period This Year
_ (6/1 /16-12/31/16) (1 /I /16-12/31/16)
Total Taxable Income And Distributions — —
Total Tax-Exempt Income
TOTAL INCOME AND DISTRIBUTIONS
Taxable and tax exempt income classifications are based on the characteristics of the underlying
securities and not the taxable status of the account
CASH FLOW
This Period
(6/1/16-12/31/16)
This Year
(1/1/16-12/31/16)
OPENING CASH, BDP, MMFs
$0.08
Total Investment Related Activity
—
—
Electronic Transfers-Debits
—
(0,08)
Total Cash Related Activity
—
$(0.08)
Total Card/Check Activity — —
CLOSING CASH, BDP, MMFs
GAIN/(LOSS) SUMMARY
Realized This Period
(6/1/16 12/31/16)
Realized This Year
(1/1/16 12/31/16)
Unrealized
Inception to Date
(as of 12/31/16)
TOTAL GAIN/(LOSS) — — —
The Gain/(Loss) Summary, which may change due to basis adjustments, is provided for informational
purposes and should not be used for tax preparation. Refer to Gain/(Loss) in the Expanded Disclosures.
PERSONAL
RETIREMENT
EDUCATION
TRUST
BUSINESS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
ACCOUNTS
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Morgan Stanley
CLIENT STATEMENT I For the Period June 1- December 31, 2016 PRIVATE WEALTH MANAGEMENT Page 6 of 8
Investment Objectives^: Speculation, Capital Appreciation, income, Aggressive Income Brokerage Account
f Inform us if your investment objectives, as defined in the Expanded Disclosures, change.
ACTIVITY
COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO: _
LOUIS PLUNG AND COMPANY, LLP
MESSAGES
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006508 MSPDD011
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 7 of 8
We are pleased to enclose your 2016 Recap of Cash Management Activity. This section includes a summary of your electronic transfers, checking and card activity for the year (including
ATM transactions, automated payments and Bilipay), and security transfers.
Information related to Income, Distributions, Purchases, Sales, and Redemptions will be provided to accounts subject to IRS reporting on Forms 1099 in the Consolidated Tax Package.
For your convenience, this Recap is also available as a separately retrievable document on Morgan Stanley Online under Statements within the Account Documents tab.
We recommend that you wait for your IRS Form(s) 1099 before completing your tax returns. This Recap is not a substitute for the official account statements that you have received
from us throughout the year; and is for informational purposes only to provide you with a recap of your cash management activity. If there are any discrepancies between your account
statement(s) and the information in this Recap, you should rely on the account statement(s) you have previously received.
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (DEBITS)
Activity Date
Activity Type
1/26
Withdrawal
Description
Comments
lnfiows/(Outflows)
BRANCH CHECK
PAID TO RSB, LLC
$(0.08)
TOTAL ELECTRONIC TRANSFERS (DEBITS)
TOTAL CASH RELATED ACTIVITY
$(0.08)
$( 0 . 08 )
DEBIT CARD/CHECK ACTIVITY
AUTOMATED PAYMENTS
Bill Pay and other electronic activity , which may include checks you wrote that were processed by Automated Clearing House processing.
Transaction Activity
Date Date
Activity Type
Payee
Credits/(Debits)
1/5
1/5
Automated Payment-Adj
CK# 000000 RETURNED
$906.74
1/5
1/5
Automated Payment
J CONDOMINIUM SO
(906.74)
2/1
2/1
Automated Payment-Adj
CK# 000000 RETURNED
3,000.00
2/1
2/1
Automated Payment
BANK OF AMERICA
(3,000.00)
3/1
3/1
Automated Payment-Adj
CK# 000000 RETURNED
3,000.00
3/1
3/1
Automated Payment
BANK OF AMERICA
(3,000.00)
3/30
3/30
Automated Payment-Adj
CK# 000000 RETURNED
3,000.00
3/30
3/30
Automated Payment
BANK OF AMERICA
(3,000.00)
5/2
5/2
Automated Payment-Adj
CK# 000000 RETURNED
3,000.00
5/2
5/2
Automated Payment
BANK OF AMERICA
(3,000.00)
5/31
5/31
Automated Payment-Adj
CK# 000000 RETURNED
3,0©©.00
5/31
5/31
Automated Payment
BANK OF AMERICA
(3,000.00)
TOTAL AUTOMATED PAYMENTS
$0.00
TOTAL DEBIT CARD/CHECK ACTIVITY
$ 0.0
FOIA Confidential Treatment Requested
MS-USAO-0017961
Ac«we Assets Aceoum
■MHflMI
1/27
Transfer out of Account
CODE REBEL CORP COM
RST
TOTAL SECURITY TRANSFERS
$(1,108,503.27)
CLIENT STATEMENT
Securi
mboi
Comments
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 8 of 8
SECURITY TRANSFERS
Activity Date Activity Type
FOIA Confidential Treatment Requested
MS-USAO-0017962
CLIENT STATEMENT
Morgan Stanley
PRIVATE WEALTH M AN AGE IV! ENT p age 0 f 2
We are pleased to enclose your 2016 Recap of Cash Management Activity. This section includes a summary of your electronic transfers, checking and card activity for the year (including
ATM transactions, automated payments and Bilipay), and security transfers.
Information related to Income, Distributions, Purchases, Sales, and Redemptions will be provided to accounts subject to IRS reporting on Forms 1099 in the Consolidated Tax Package.
For your convenience, this Recap is also available as a separately retrievable document on Morgan Stanley Online under Statements within the Account Documents tab.
We recommend that you wait for your IRS Form(s) 1099 before completing your tax returns. This Recap is not a substitute for the official account statements that you have received
from us throughout the year; and is for informational purposes only to provide you with a recap of your cash management activity. If there are any discrepancies between your account
statement(s) and the information in this Recap, you should rely on the account statement(s) you have previously received.
CASH RELATED ACTIVITY
ELECTRONIC TRANSFERS (DEBITS)
Activity Date
1/26
Activity Type
Withdrawal
Description
Comments
lnfiows/(Outflows)
BRANCH CHECK
PAID TO RSB, LLC
$(0.08)
TOTAL ELECTRONIC TRANSFERS (DEBITS)
TOTAL CASH RELATED ACTIVITY
$(0.08)
$( 0 . 08 )
DEBIT CARD/CHECK ACTIVITY
AUTOMATED PAYMENTS
ill Pay and other electronic activity , which may include checks you wrote that were processed by Automated Clearing House processing.
Transaction Activity
Date _ Date _ Activity Type _ Payee __ Credits/(Debits)
1/5
1/5
Automated Payment-Adj
CK# 000000 RETURNED
$906.74
1/5
1/5
Automated Payment
J CONDOMINIUM SO
(906.74)
2/1
2/1
Automated Payment-Adj
CK# 000000 RETURNED
3,000.00
2/1
2/1
Automated Payment
BANK OF AMERICA
(3,000.00)
3/1
3/1
Automated Payment-Adj
CK# 000000 RETURNED
3,000.00
3/1
3/1
Automated Payment
BANK OF AMERICA
(3,000.00)
3/30
3/30
Automated Payment-Adj
CK# 000000 RETURNED
3,000.00
3/30
3/30
Automated Payment
BANK OF AMERICA
(3,000.00)
5/2
5/2
Automated Payment-Adj
CK# 000000 RETURNED
3,000.00
5/2
5/2
Automated Payment
BANK OF AMERICA
(3,000.00)
5/31
5/31
Automated Payment-Adj
CK# 000000 RETURNED
3,@@©.00
5/31
5/31
Automated Payment
BANK OF AMERICA
(3,000.00)
TOTAL AUTOMATED PAYMENTS $0.00
TOTAL DEBIT CARD/CHECK ACTIVITY
FOIA Confidential Treatment Requested
MS-USAO-0017963
Ac«we Assets Aceoum
■MHflMI
1/27
Transfer out of Account
CODE REBEL CORP COM
RST
TOTAL SECURITY TRANSFERS
$(1,108,503.27)
CLIENT STATEMENT
Securi
mfooi
Comments
Morgan Stanley
PRIVATE WEALTH MANAGEMENT
Page 2 off 2
SECURITY TRANSFERS
Activity Date Activity Type
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MS-USAO-0017964
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